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Director of Operational IT Audit/Compliance

Monarch Executive Solutions LLC

Director of Operational IT Audit/Compliance

Riverside, CA
Full Time
Paid
  • Responsibilities

    Director of Operational IT Audit/Compliance

    Our client located in Southern California is seeking a Director of Operational IT Audit/Compliance which will be responsible for leading the execution of risk assessments geared at identifying risks in mission critical applications, the development of an audit plan for continuously monitoring and testing system functionality and security controls and managing the implementation of new information technology systems. The Director of Operational IT Audit/Compliance is a newly created role and holds high responsibility and involvement in new system and audit project deployment requiring oversight of project management, thinking critically, developing audit tools, and being adept at learning new processes, assessing risks, and interpreting laws and regulations.  This is not a remote opportunity.

    The Director of Operational IT Audit/Compliance prepares detailed reports of findings and recommendations written in a professional manner consistent with industry practices. Responsible for providing the training and development of IT Operational Compliance personnel and supporting in the execution of the overall organization audit plan. This role is critical to managing risk and is expected to provide the Senior Vice President Finance and other executives their assessment of the risks associated with programs, products, and services. The Director of Operational IT Audit/Compliance also champions the goals and priorities in a manner that faithfully reflects and upholds the organization’s vision, mission and values.

     Essential Duties & Responsibilities

    • Leads system implementation projects by evaluating new system capabilities and identifying process risks. Develops and documents mitigating controls, ensuring training is customized to align with operations, in addition to ensuring systems components are used to their full potential based on operational needs. Verifies permissions assigned to job profiles are appropriate and enforce segregation of duties to meet adequate security over critical system functions and conducting testing and validation.
    • Performs and directs internal operational process audit and/or assessment activities for departments supported by the Operational Compliance Team in areas of information technology, operational areas to include annual audit plans to cover laws and regulations in the areas of BSA/AML Title 31, IRS Information Reporting, etc. Performs, reviews, and evaluates work of programs in complex or sensitive cases, as needed. Reviews and drafts reports prepared by team members and approves all final reports.
    • Works closely with the Operational Compliance (Internal Audit) Team to ensure work performed meets regulatory requirements, industry standards, practices or expectations relative to evaluating program quality and effectiveness, in addition to identifying areas for improvement and forecast of future program needs.
    • Makes presentations to department management, executive management. Manages and provides feedback to associates and management via meetings, collaboration and reports.
    • Leads quality process development and improvement initiatives with the respective departments. Plans, measures and analyzes data, monitors trends and evaluates process and service quality and service quality gaps. Develops annual Operational Compliance Review Plan after taking into consideration feedback executive management.

    Education/Experience/Qualifications

    • Bachelors degree in Finance, Business, or related field is required. MBA or Masters degree in a related field is highly preferred.
    • Minimum of ten (10) years of combined experience in audit, risk assessments, project management, system implementation, and accounting.
    • Professional certification (CPA, CIA, CISA or CFE) preferred.
    • Project management experience preferred.
    • Equivalent combination of education and progressive, relevant and direct experience may be considered in lieu of minimum educational/experience requirements indicated above.
    • Must have excellent interpersonal, analytical, and research experience to perform audits or projects.
    • Must demonstrate the ability to communicate verbally and in writing throughout all levels of the organization.
    • Ability to delegate, multi-task, lead and prioritize effectively in a dynamic, fast-paced environment with demonstrated organizational and time management skills.
    • Strong leadership and people management skills required with good motivational and collaboration emphasis; communicates change effectively, overcomes resistance and builds commitment.
    • Proficient computer skills including Microsoft Office Suite, Outlook, SharePoint, and relevant software required.
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      All applicants must be able to demonstrate their US work authorization during the employment verification process.

      Compensation

      Starting salary is $160-185K DOE, bonus eligible position (30%), competitive benefits including 401K plan with company match and generous relocation assistance will be provided.  THIS IS NOT A REMOTE OPPORTUNITY