Analyzes and reviews account operational processes to assess compliance with business policies and procedures, internal control framework, and audit requirements for respective line of business. Communicates results and significant compliance issues to management. Responsible for performing system access reviews and conducts risk management oversight meetings, BCP and stress management tests, and provides external audit support for third-party auditing firms or other PS compliance teams.
• Performs annual audits/reviews to ensure compliance with internal policy and procedures and external control certifications.
• Identifies the audit test selection. Works with department and line of business leadership to coordinate completion.
• Prepares, monitors and reports on audit project plans. Provides status reports to the Compliance Management Team. Communicate results, findings and recommendations. Publishes department documents including policy and procedure documents and forms, and all other requested documents from the various shared service teams.
• Assists with internal compliance and Service Organization Control audits by reviewing population of submitted testing items to ensure requested information was compete prior to delivery to auditors.
• Monitoring and maintenance of the department Disaster Recovery and Business Continuity Plan to ensure completeness and accuracy.
• May participate in Local Best Practices Team meetings by providing ideas, guidance, and recommendations.
• Performs other duties as assigned.
May lead project teams and/or plan and supervise assignments of lower level employees