Compliance Director (Banking) manages operations to identify and respond to suspicious activity violating current anti-money laundering (AML) regulations as defined in the US Bank Secrecy Act (BSA) or other governmental anti-terrorist financing programs. Implements oversight systems, interdiction software, and audit processes to perform daily transaction monitoring and identify suspicious activity patterns. Being a Compliance Director (Banking) monitors activity and ensures adherence to Know your Customer (KYC) protocols and regulatory requirements for required filings and reporting. Leads investigations of suspicious activity to pursue corrective actions and ensure completion of required filings. Additionally, Compliance Director (Banking) maintains extensive knowledge of financial regulations, risk management best practices, and changing fraudulent trends to develop and implement appropriate compliance procedures. Delivers compliance training with up-to-date regulatory information and procedures to develop and guide well-informed staff. Typically requires a bachelor's degree. May have the Certified Anti Money Laundering Specialist (CAMS) certification. Typically reports to a director. The Compliance Director (Banking) typically manages through subordinate managers and professionals in larger groups of moderate complexity. Provides input to strategic decisions that affect the functional area of responsibility. May give input into developing the budget. To be a Compliance Director (Banking) typically requires 3+ years of managerial experience. Capable of resolving escalated issues arising from operations and requiring coordination with other departments. (Copyright 2024 Salary.com)
Work with auditors (internal and external), technical teams, business SMEs and internal compliance to provide supporting documentation for SOX, SOC and Archer controls for SAP.
Keep SAP auditor compliance to a bare minimum
Develop mitigating and compensating controls if deficiencies are found
Manage request in a timely manner
Complete SAP audit and compliance activity
Perform research and documentation for audit requests for SAP
Perform monthly, quarterly and yearly control responsibilities
Partner with 7-11 internal compliance team to understand how 7-11 does things
Be the face of compliance for SAP at 7-11
Strong background in auditing techniques, identifying risks associated with current technologies and the standards and controls to mitigate these risks, developing and executing test plans
Strong Knowledge and understanding of regulatory and control frameworks
Demonstrated ability to write audit reports and to participate in presentations
Advance Experience with GRC tools is preferred
Ability to read SQL, Java, and other computing languages is preferred
Knowledge of ServiceNow, SAP, Archer, Oracle EBS and JIRA/Confluence is preferred
Education: Bachelors/ 4yr degree
Years of Relevant Work Experience: 5 yrs
Years of Management Experience: NA
Certifications/ Licenses: CISA, CIA, and of CISSP certification preferred
Background in SAP as it relates to pulling audit evidence.
Experience in SNOW as it relates to pulling audit evidence.
Experience with large older SAP server farm.
Background in audit and compliance related activities.
Experience in SAP SOX and SOC audit control management.
Understand and work with teams to document monthly, quarterly , semi manually, annual and internal audit control.
Experience in documenting and managing deficiencies and their remediation.
Experience in Archer tool.
Provide management review of controls documentation.
Work with internal and external auditors satisfying varying requests.
Strong background in auditing techniques, identifying risks associated with current technologies and the standards and controls to mitigate these risks, developing and executing test plans
Strong Knowledge and understanding of regulatory and control frameworks
Demonstrated ability to write audit reports and to participate in presentations
Advance Experience with GRC tools is preferred
Ability to read SQL, Java, and other computing languages is preferred
Knowledge of ServiceNow, SAP, Archer, Oracle EBS and JIRA/Confluence is preferred
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