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Customer Experience Audit / Exam Coordination Associate
Union Bank
Monterey Park, CA, United States
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Coordinate regulatory exam and business aligned audit activities, oversee issue management and corrective actions for regulatory compliance aligned to regulatory and compliance principles.
Major Responsibilities:
Audit Interface and Coordination.
Work with Internal Audit for the Americas (IAA) to understand the audit schedule and ensure focus on key processes and risks.
Contribute to building the relationship with the audit team.
Review and influence the scope of audits to ensure focus on key processes and risks and value to the bank.
Communicate the audit plan and audit’s focus to technology and operations management.
Coordinate with IAA during audits and oversee the collection of evidence by front line units.
Discuss audit findings with technology, operations and audit managers.
Review draft audit issues and ensure clarity and focus on risk.
Assist technology and operations managers in crafting responses to reports and issues.
Issue Management and Corrective Action Oversight.
Monitor front line unit adherence to issue management criteria, tools and methods defined by the second line of defense.
Leverage the library of issues and corrective action plans maintained by the second line.
Monitor front line unit progress against corrective action plans.
Communicate the status of front line unit issues and corrective action plans to the Technology & Operations Risk Controls Officer.
Regulatory Compliance and Exam Coordination.
Support the communicaiton of new compliance obligations to the Technology & Operations Risk Controls Officer.
Coordinate with the Technology & Operations Risk Controls Officer during examinations and oversee the collection of evidence by front line units.
Maintain a library of exam findings and management responses.
Monitor front line unit progress against exam findings and management commitments.
Communicate the status of exam findings to the Technology & Operations Risk Controls Officer.
Qualifications
Education:
Bachelor's Degree preferred
Knowledge, Experience and Abilities:
5+ years of technology audit experience in the financial services sector.
Knowledge of technology and operations processes.
Skilled/adept at drawing and evaluating technology and operational processes, highlighting risks and controls.
Enjoy analyzing and discussing risks and controls.
Strong verbal and written communication skills.
Demonstrated ability to overcome obstacles and deliver assignments on-time and with high quality.
High energy self-starter.
The above statements are intended to describe the general nature and level of the work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified.
We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.
A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it’s the bank’s policy to only inquire into a candidate’s criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.