SOX REG. CONSULTANT BANK-NY
Location: any, preferably Spain, France, Portugal due to time proximity
As a member of the Technology organization, you will be part of the team that serves the needs of Santander Bank, N.A., including products and services for personal, business and corporate customers. Our people are at the heart of everything we do. We are committed to teamwork, and we encourage collaboration and innovation to be a smart, customer-focused and solutions-oriented organization.
The Technology organization supports the development, implementation and ongoing maintenance of all banking systems. This team has the expertise and commitment to develop high-quality solutions to meet the needs of a fast-paced and complex operating environment.
This position will be responsible for supporting and driving certain portions of the IT Regulatory Program Office team. The role will be responsible for managing and supporting examinations (internal & external), and all stakeholders involved. The role will involve collection, review, and analysis of regulatory data and metrics, and remediation action plans. The incumbent will be expected to produce accurate and timely reports and PowerPoint presentations regarding all aspects of regulatory data. The role will also involve working with a variety of stakeholders at senior levels located throughout Groups US operating entities. This position will be exposed to all various aspects of Technology, including but not limited to network security, access management, cyber security, IT architecture, IT resiliency, software development lifecycle, disaster recovery, infrastructure engineering, and all other aspects of IT management. This position will involve oversight and understanding of Groups US operating entities, including their respective lines of business and corporate functions, as well as participation in all facets of management of examinations and reviews of Groups US operating entities. Advanced knowledge of applicable US laws and regulations and financial services industry regulators is a plus. Additional responsibilities include:
- Manage examinations, audits and reviews on behalf of the Technology organization
- Management of all key stakeholders throughout each Technology examination, audit and review; including the auditors/regulators
- Work with various stakeholders to evaluate action plans, and remediation actions
- Keep abreast of legal and regulatory matters affecting the US financial services industry, the regulatory environment, and potential impact on Groups US operating entities
- Implement standards and procedures to support the Regulatory Program Office function. Maintain documentation and supporting work papers
- Provide direct support for the Regulatory Program Office Associate Director’s current responsibilities, as directed
- Compile, analyze, and review quantitative and non-quantitative regulatory risk management information from Groups US operating entities
- Collaborate with various teams to identify, assess and validate various Technology risks and controls before, during and after examinations, audits and/or reviews
- Provide leadership within the RPO team, IT Chief Operations Office and Technology to effectively lead and collaborate with various stakeholders while influencing strategic goals.
- Partner with Second Line of Defense to provide input/review of relevant frameworks, policies and standards.
- Facilitate awareness of, and adherence to, risk frameworks, policies, and standards through internal validation and issue/risk management.
- Continuously monitor all sources of risk existing within Technology, and externally; while utilizing research, networking and experience to anticipate critical risks and issues impacting Technology
- Bachelor’s Degree; Accounting, Business, Statistics, Risk Management, Information Systems, Finance, Economics or equivalent field
- Master’s Degree; Accounting, Business, Statistics, Risk Management, Information Systems, Finance, Economics or equivalent field or equivalent work experience a plus
- 5+ years of risk management, audit, legal, regulatory and/or quantitative experience
- Knowledge of applicable laws and regulations and financial services industry regulators, specifically, SOX regulation
- Understanding of banking operations and the financial services regulatory and risk management environment
- Strong organizational skills, including ability to prioritize several projects at a time
- Ability to develop and maintain close working relationships with internal and external stakeholders
- Excellent oral and written communication and presentation skills
- Advanced PC (MSWord, Excel, Access, PowerPoint) skills
- IT experience is preferred
- IT Audit experience is preferred
- Management experience is preferred
Technology, UK has started a greenfield project to enhance its electronic trading offering with in SCIB Fixed Income. Working closely with the fixed income trading business both in London and Spain, the team will deliver on a 3-year strategy to build a cloud-based trading platform. The project is sponsored at high levels with-in the business and is a new initiative. Working in a small development team, the focus will be on delivering high quality solutions for electronic trading and pricing workflows. The aim of the project is to build an agile team that works closely with the business sponsors to ensure a high-quality platform that delivers on the needs of a global trading business.