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Risk & Controls Regulatory Analyst

Req #: 170108092
Location: Jersey City, NJ, US
Job Category: Technology
Job Description:
GTI Risk & Controls team establishes the framework and provides guidance to the Global Technology Infrastructure (GTI) organization for managing risks, assessing controls and engaging with internal and external organizations to determine adequacy of the control environment. The GTI Risk & Controls team are responsible for governance and execution of risk programs to identify and mitigate risks within GTI. This includes ensuring adherence to existing policies and standards, regulatory requirements or best business practices.
The GTI Risk & Controls Regulatory Lead will work in a small team to primarily focus providing support for all GTI impacted external regulatory and audit engagements globally. The role will also extend to management and execution on GTI Risk Control Self Assessments. The role is focused on assurance audits, including SSAE16, and regulatory and industry compliance assessments.  Key roles and responsibilities will include;
  • Execution of all external GTI cross impacted regulatory & audit exams; working closely with Technology Controls counterparts in respective regions to respond to relevant questionnaires & RFIs
  • Support the execution of the SSAE16; the firms adherence to Statement on Standards for Attestation Engagements – conducting quarterly testing cycle for GTI including coordination and execution of Request for Information (RFIs)
  • Provide reporting on progress on all external audits and regulatory engagements as well as RCSA
  • Identify and executing areas of improvements across internal processes - increasing efficiency and productivity across the GTI Regulatory and Controls organization
  • Support GTI’s key Control Testing program; RCSA (Risk & Control Self-Assessment)
  • Ensure compliance of activities with audit, information risk policies, and industry compliance requirements.
  • Communicate with key stakeholders, providing accurate metrics and management reports on timely basis
  • Track and monitor the status of all requests, escalating as appropriate to ensure SLA adherence
  • Act as an interface with internal and external audit engagements
Required Skills / Experience
  • Experience working in Technology Risk & Controls management or Technology Audit function
  • Strong organizational and structured approach to work - consistently execution focused and proven track record of delivery
    • Recent experience working in a corporate Audit, Regulatory, Risk and Controls environment including risk identification, control evaluation, testing, sampling methodologies, audit engagement process, controls substantiation, etc
    • Understanding of Control Assessments
  • Excellent written and verbal communication
  • Strong relationship management and liaison
  • Strong Excel skills including ability to create pivot tables, vlookups, etc.
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