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Job Specification

RISK & CONTROLS MANAGER (HR) – FIN SERVICES AUDIT, COMPLIANCE OR RISK EXPERIENCE REQUIRED

$100K -$110K + benefits | DULLES AREA (VA)
Ref: 3938D

North America / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our client, a leading Financial Services Group, is seeking an HR Business Risk & Controls Manager to be responsible for supporting and coordinating assigned aspects of the operational risk management framework within HR. Duties will include; 

 

  • Controls Testing: Perform testing activities for controls identified in the Risk and Control Self-Assessment (RCSA) process, including assisting HR in writing controls, assessing operating and design effectiveness (OE/DE) of controls, writing test plans, performing SOX controls testing, and documenting test procedures performed and conclusions drawn. Build and maintain internal control documentation. Perform and/or monitoring remediation of control deficiencies identified and provide recommendations for operational improvements.
  • Risk and Control Self Assessments (RCSAs) and Control Testing: Build, maintain, and refresh RCSAs for significant business processes, including development of process flows and process narratives, risk and control analysis. Identifying gaps or limitations within HR processes and systems, and work with HR leaders to develop and implement internal controls to sufficiently mitigate risk. Keep HR apprised of potential changes in inherent risk or control breakdowns/ deficiencies that could impact residual risk. Act as a trusted advisor on operational risk issues, including risk identification associated with HR projects, ongoing HR processes, and emerging risks.
  • Issue/Event Management: Assist on issue/event management process, including maintaining monthly status updates, assisting HR business functions on developing and tracking remediation plans, validation of issues prior to closure. Keep apprised of ongoing audits, regulatory examinations, and compliance controls tests and their resulting findings. Support business unit management in the discussion and assessment of potential risk issues and remediation of issues.
  • Regulatory Change Management: Participate in the regulatory change management process by assessing applicability and impact of laws and regulations to HR processes and by supporting business changes to meet new or updated regulatory requirements.

You should have a Bachelor's Degree with at least 5 years of experience in operational risk and/or compliance and/or audit experience from financial services (or External Audit of FS or from within an HR organization) including in-depth knowledge of and experience with Audit and/or Op Risk methodology.

You should also have or be willing to pick up quickly, an understanding of operational risk management techniques in functions such as Talent Acquisition, Total Rewards & Employee Relations together with an in-depth knowledge of Federal and State employment laws and regulations, including EEO/Affirmative Action laws & government investigative procedures and OFCCP compliance.

Great opportunity to build on broad Audit, Compliance or Op Risk experience from Financial Services and specialise in the growing and interesting area of HR Risk & Controls.

 

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including a contact number & email) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).  

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