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Compliance Testing Manager - Data & Systems

Company: M&T Bank
Location: Buffalo
Posted on: February 15, 2020

Job Description:

Overview:The Compliance Testing Manager on the Data and Systems Team is responsible for the managing, leading, and execution of compliance testing engagements utilizing a risk based approach in line with department standards to ensure the Bank's compliance with applicable laws, rules & regulations. The Compliance Testing Manager on the Data and Systems Team is also responsible for the oversight and coaching of team members to deliver a quality product in line with department standards. As a member of the Compliance Testing Group Management Team, this leadership role supports continued enhancements to testing methodology, ongoing stakeholder engagement, talent management, advanced technical and analytical skills and abilities as well as the overall promotion of the Compliance Testing Group within the organization.Primary Responsibilities:Interface with all layers of the organization independently to obtain information related to processes and controls.Perform compliance testing in accordance with department and professional standards.Oversee planning and execution of testing, including multiple simultaneous testing engagements across a defined testing portfolio, including systemic access needs and identification of data and sources to be utilized in testing.Ensure testing engagements are completed within established timeframes, and/or provide early escalation of anticipated delays to senior management.Draft and communicate substantive testing findings and control execution weaknesses to all levels of compliance and business unit management under the direction of a Manager.Lead collaborative testing team discussions with all levels of management where judgment and opinions are effectively challenged.Review test findings with testing management and other compliance officers to confirm validity of issues; make recommendations to Senior Compliance Testing Manager regarding the appropriate tier rating of identified issues.Work with business units and compliance groups to ensure consistent understanding of requirements.Responsibilities may also include system administrative duties such as maintenance, validation, and/or updating in the compliance data management system (Archer).Review work papers of all team members and provide related feedback, coaching, and mentoring.Build a working relationship with mid-level Internal Audit, Business Units, and Corporate Compliance Portfolio Managers.Encourage integrated testing approaches within the Data & Systems Team and make suggestions on testing approaches to improve the efficiency and effectiveness of testing procedures. Serve as knowledge resource for all staff.Exercise authority of a manager concerning staffing, performance appraisals, promotions, performance management, and terminations.Maintain a comprehensive working knowledge of regulatory requirements to ensure an appropriate level of testing.Provide feedback to team members regarding assessments of business unit process and controls and respective risk focused input on effectiveness and efficiency of testing approach.Independently document and assess all levels of test scripts.Participate in special projects and department wide initiatives, as necessary.Multitask assignments and meet established deadlines.Understand and adhere to the Company's risk and regulatory standards, policies, and controls in accordance with the Company's Risk Appetite. Identify risk-related findings needing escalation to a Manager.Promote an environment that supports diversity and reflects the M&T Bank brand.Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.Complete other related duties as assigned.Scope of Responsibilities:The position works under the direction of the Senior Data Analytics and Systems Compliance Testing Manager, and is required to exercise independent judgment and discretion utilizing a risk based approach.The position collaborates extensively with (a) Corporate Compliance subject matter deputies (PCMs) to gain an appropriate understanding of applicable regulatory requirements, (b) business unit staff and PCMs to understand work flows and processes, and (c) Internal Audit as a resource for review and coordination of testing plans and methods.The position will interact with external contacts including Bank Supervisors/Examiners and peers at other institutions.Supervisory/ Managerial Responsibilities:Manage a team of 3 - 10 Testing Analysts.Education and Experience Required:Bachelor's degree in a business-related curriculum and a minimum of 5 years relevant work experience (Compliance, Audit, or Risk Management), inclusive of 2 years' supervisory experience, OR in lieu of a degree, a combined minimum of 9 years' higher education and/or work experience, including a minimum of 5 years' relevant work experience and 2 years' supervisory experience.Demonstrated coaching experience.Ability to read and understand laws, regulations, and common law applicable to subject matter.Ability to exercise judgment and sound discretion, and understand when Corporate Compliance Management guidance is needed.Strong, comprehensive understanding of financial services functions.Ability to thrive in a collaborative, team-oriented environment.Strong interpersonal skills, having the ability to effectively communicate both orally and in writing to mid-level management.Strong organizational and analytical skills.Possess regulatory subject matter expertise related to aspects of the portfolio.Strong proficiency with spreadsheet, presentation, and word processing software.Education and Experience Preferred:Related certifications (CPA, CIA, CISA, CAMS or similar certifications).MBA or Master's Degree in an appropriate field.Advanced systems and data analytics knowledge, skills and abilities (SAS, SQL, ORACLE, VBA)Advanced Microsoft Excel, PowerPoint, Access experience#LI-RS1

Keywords: M&T Bank, Buffalo , Compliance Testing Manager - Data & Systems, Executive , Buffalo, New York

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