The CQA Validation Manager leads a team that oversees and implements CQA's Issue Validation Program to ensure a consistent approach for closure on CQA sourced issues. The appropriate candidate will train, coach, and mentor team members to provide consistent execution of the Validation Program. This individual will manage a team of experienced Risk and Compliance professionals who work directly with business line management on confirming remediation of issues and mitigation of regulator and operational risk.
The candidate will lead projects and validation activities to facilitate timely closure of CQA sourced issues while adhering to CQA internal enterprise-wide policies and procedures. Ongoing supervision of the program includes identifying gaps and determine solutions that minimize impact to CQA and business line partners. Collaboration through regular interaction with senior management, business line risk officers and issue management contacts to stay abreast of changing resolution / remediation plans to minimize issue extensions and re-opens.
Responsibilities will include but are not limited to the following:
Manage RCA Professionals, including staffing, performance management, prioritization of projects, guidance, assignment of issues and training.
Manages the execution of the Validation Program including projects, assessments, and testing to support closure of the issues.
Ensures Validation team is performing proper review and submission of CQA Testing Issue Workpapers that come out of Enterprise Compliance Testing.
Monitors workload capacity for issues with consideration for open-issue monitoring objectives and meeting policy service-level for those issues in a Complete Per Management Assertion status.
Ensures validation activities/procedures are executed according to the corporate Issue Management Policy for CQA sourced issues.
Owns the accuracy of the validation documentation, verify and measure the quality of staff conclusions to support issue closure through quality assurance routines.
Reviews and provides credible challenge to business line on issue extension requests and Validation requests to reopen issues.
Develops and fosters strong relationships with business line personnel and CQA staff through regular meetings to discuss identified issues in the business line from all sources.
Provides reporting of validation activities to senior management and risk management committees.
- Bachelor's degree, or equivalent work experience
- Ten or more years of experience in an applicable risk management environment
- Applicable certifications
- Ten or more years of experience in monitoring, auditing, or testing of regulations.
Advanced understanding of business lines products / services
Advanced to expert understanding of applicable laws, regulations, financial services, and regulatory trends
Strong skills in leadership and management of process, projects, and people
Strong critical thinking, analytical, and problem-solving skills
Demonstrated ability to manage multiple tasks and deadlines simultaneously, advanced skills at managing stressful situations
Proven adaptability to changing priorities
Advanced ability to clearly identify and challenge root cause analysis, risk exposure, and remediation / resolution
Advanced to expert level of communication skills (verbal and written)
Advanced computer navigation skills using a variety of software packages including Microsoft Office and Archer
Has or is willing to pursue professional certifications (e.g. CRCM, CAMS, MBA)
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