Compliance Director, Testing and Monitoring
Location: SANTA CLARA, California

Position Summary
Responsible as professional contributor confirming through ‘audit-like” testing of compliance controls in the business units. Leads planning, test execution, reporting and remediation validation of compliance controls, and manages projects requiring the responsibility of delegating work and reviewing resulting work product. Works independently with limited supervision. Anticipates and implements changes to the testing plans as a result of changes in the Bank’s business environment including regulatory changes. Leads meetings with various business stakeholders for all phases of testing to communicate status and test results. Communicates with parties within and outside of own job function. Adapts well to and embraces change. May be responsible for providing guidance, coaching and training to other employees within job area.
Primary Responsibilities
•Independently manages assigned testing and monitoring protocols, and develops risk-based testing activities under Compliance Testing Manager, and/or Head of Independent Testing guidance.
•Leads and performs assigned testing activities within budgeted project hours including cross team engagements. Adheres to established timelines for testing and monitoring assignments.
•Leads and performs testing and monitoring activities accurately, thoroughly, and following work paper protocols in accordance with Compliance Monitoring and Testing Standard.
•Adheres to Compliance Independent Testing Standards, Operational Procedures, established service level agreements, and any promised timelines in order to provide high value service to business partners.
•Leads and contributes to team process enhancements through sharing of innovative ideas. Also, adapts to and executes process improvements timely.
•Develops and maintains core technical and soft skills (e.g., systems, leadership, people management, planning and organizing, communication, job knowledge and problem solving).
•Prepares and presents written information in a clear, concise, grammatically correct, and convincing manner.
•Demonstrates and influences others with a positive attitude in the work place and accepts accountability.
•Responds timely to internal or external requests for information, analysis and/or advisory testing services.
•Achieve objectives within constraints.


Skills and Requirements:
Qualifications
•Bachelor’s Degree is required, advanced degrees and/or certifications preferred
•Background in one of the following disciplines is required, multiple is preferred, credit risk, operations, technology and/or compliance
•10+ years of compliance experience and 5+ years leading a testing and monitoring function/team within a bank required
•Ability to quickly determine criticality of risk
•In-depth knowledge of banking regulations
•Ability to closely monitor developing requirements
•Ability to clearly communicate complex topics to varying audience levels
•Must excel at problem resolution, dealing directly and constructively with conflict and differences of opinion
•Excellent people, communication and collaboration skills
•Superior project and people management skills
•Works well and collaboratively on a small, flexible team
Administrative/Technical Skills/ Other Information
•Extensive experience with MS Office products including Word, Excel, Access, PowerPoint, Outlook, and Visio is required.
•Working knowledge of data analytics tools preferred




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