AVP, Compliance Process & Controls Analyst

Summary/Purpose: The AVP, Compliance Process & Controls Analyst is responsible for supporting ownership of Compliance-owned Level 3 (L3) processes, oversight and maintenance of associated risk and control documentation, managing downstream Compliance activities triggered by Process Universe changes, and acting as the primary point of contact for Compliance as it participates in the company’s Risk & Control Self-Assessment (RCSA) process. This role reports to the Compliance Risk Assessment (CRA) Leader and is part of the broader Compliance Program & Initiatives (CPI) team within the company’s second line of defense (2LOD) Compliance organization. As such, the AVP in this role may also support broader Compliance Risk Assessment (CRA) activities and the CRA team, as needed.

Maintain (or create new, as needed) Compliance-owned L3 processes in eGRC, including documentation of Process, Risk, and Control (PRCs) Lead coordination efforts with other Compliance teams to periodically refresh PRC documentation per the RCSA process Provide regular oversight Compliance Program & Initiatives (CPI)-owned controls; partner with CPI leaders to ensure the team executes its controls in a timely and efficient manner (identifying back-ups as needed for ongoing business continuity), maintain evidence of key control performance for periodic audit/exam purposes, and ensure controls remain relevant to properly mitigate associated risks Coordinate within CPI leaders to recommend enhancements and opportunities to leverage AI to perform controls in a more efficient manner Actively participate and represent Compliance as a member of the Process Universe Working Group (PUWG) Analyze monthly approved PUWG changes and initiate workflows for Compliance Risk Oversight SMEs to take action (including alignment of applicable legal/regulatory requirements by stated SLAs) when there are new, retired, merged, or split L3 processes Ensure Compliance Risk Oversight SMEs complete PUWG-driven workflow activities in a timely manner, provide support along the way and ensure workflow completion Collaborate with Compliance leaders as Compliance Risk Oversight SME assignments change due to organizational changes to ensure L3 process oversight is reassigned in a timely and efficient manner for purposes of ongoing day-to-day Compliance oversight, RCSA credible challenge activities, and annual CRA execution Serve as the primary point of contact for Compliance as it participates in the Company’s ongoing RCSA process Coordinate with the Compliance Leadership Team (CLT) (direct reports of the company’s Chief Compliance Officer) to confirm which first line of defense (1LOD) processes Compliance Risk Oversight subject matter experts (SMEs) will credibly challenge as part of the quarterly RCSA refresh process Collaborate with the RCSA team to stay abreast of RCSA strategic changes and ensure Compliance Risk Oversight SMEs are properly supported, trained, and that they complete credible challenge activities per RCSA standards in a timely manner Communicate ongoing RCSA strategic changes to the CRA Leader as those changes may influence or impact evolving CRA strategy and methodology Conduct a periodic review of “Key CTCs” (“Critical to Compliance” obligations that reside in the regulatory inventory) in preparation for annual CRA activities and collaborate with the RCSA team to establish standards for Key Controls. Support responses to documentation requests from regulators, Internal Audit, and other governance stakeholders Create/maintain procedures and job aids for the above responsibilities, as needed, and ensure they remain updated per required timelines (or on an ad hoc basis in preparation for ongoing Internal Audit and/or regulatory exam activities) Identify opportunities to improve/enhance eGRC capabilities for responsibilities owned within eGRC to find efficiencies and streamline day-to-day work; coordinate with CRA Leader to