Sr. Risk and Controls Manager

Be among the first 25 applicants. At Early Warning, we’ve powered and protected the U.S. financial system for over thirty years with cutting-edge solutions like Zelle, Paze, and more. As a trusted name in payments, we partner with thousands of institutions to increase access to financial services and protect transactions for hundreds of millions of consumers and small businesses.Positions located in Scottsdale, San Francisco, Chicago, or New York follow a hybrid work model to enable a collaborative working environment.Candidates responding to this posting must independently possess the eligibility to work in the United States, for any employer, at the date of hire. This position is ineligible for employment visa sponsorship.OverviewThe Risk and Controls Management Team is responsible for overseeing the operational risk and control framework for the company. The team partners with first line business teams to execute independent control testing validation, manage the issue management program, implement control processes and procedures, support various audit and compliance exams, and organize the annual updates to business process Risk and Control Self-Assessments (RCSA), Risk and Control Matrices (RCMs) and process maps. The Sr. Compliance Risk and Controls Manager will work closely with the Chief Compliance Officer to execute the compliance control validation program strategy and embed a standardized approach to conducting control and issue validations, risk identification, reporting and mitigation. They are responsible for ensuring the quality of the control environment, supporting first line updates to RCSAs, RCMs and process maps, and providing subject matter expertise to business teams on a robust control testing and issue management program.Essential FunctionsOwnership of the compliance risk and control framework, including serving as the subject-matter-expert on compliance risks, regulations, and controls that execute compliance risk management activities.Provide direction to validation team members, complete validation work, prepare work papers to evidence validation, make recommendations, and draft final reports.Validate identified controls to ensure governance, evidence of execution, and appropriate monitoring and escalation across functions including security, operations, or compliance.Document validation results, prepare work papers, and draft final reports for customers summarizing validation results.Define and execute test scripts across functional areas, targeting key controls that mitigate high or critical risks.Provide effective challenge to remediation plans developed by the business.Ensure issues are properly reported with root cause analysis and action plans, and validate remediation has been dependently identify risk through undefined processes or novel methods.Perform and support detailed data analysis, including trending and issue identification.Identify emerging risks, process improvements, or training needs through analysis of results.Build and maintain relationships with business partners while upholding high ethical standards for independent validation.Manage work across organizational lines to achieve results and manage competing priorities.Support procedure reviews and document updates.Exhibit strong verbal and written communication skills; develop communications to support findings.Assist with compiling metrics for periodic reporting to key stakeholders.Demonstrate problem-solving and analytical skills with attention to detail.Support the company’s commitment to risk management and protecting the integrity and confidentiality of systems and data.Minimum QualificationsBachelor’s degree in Computer Science, Business Administration, Finance, Accounting or related field.Experience in audit, operational risk or other risk management roles or prior testing and quality assurance experience.Minimum of 8 progressive years in risk and compliance management within the financial services industry.Excellent written and oral communication skills.Experience mapping regulatory requirements to processes, risks, and controls.Experience mentoring team members and preparing risk and control self-assessments and test scripts.Strong relationship-building skills and ability to influence others.Highly organized, detail-oriented with strong analytical and technical skills.Proficient in Microsoft Excel and PowerPoint.Background and drug screen.Preferred QualificationsPrior financial institution experience.Project or process management experience.For Information Security related control validation roles: strong validation or audit experience in information security, IT audit, or related fields; knowledge of ISO 27002, PCI DSS 3.2 or current, NIST 800-53a, SIG, FFIEC handbooks, SOC2 Type II, GLBA, FCRA; technical experience with security technologies (firewalls, IDS, vulnerability management, antivirus, DLP, two-factor authentication, VPN); certification such as CISA, CISM, CISSP, CCSP, CRISC, GSNA, GIAC, or equivalent.Additional related education and/or experience preferred.Physical RequirementsWorking conditions are a normal office environment. This role is primarily sedentary and requires extensive computer use, with periods of sitting. May require occasional standing, walking, kneeling and reaching. Ability to lift up to 10 pounds occasionally. Requires visual acuity and dexterity to handle documents and equipment. Ability to communicate with internal and external customers. Ability to perform essential functions with or without reasonable accommodation.Salary and BenefitsThe base pay scale for this position in Phoenix, AZ / Chicago, IL is $126,000 - $158,000 per year. In New York, NY / San Francisco, CA it is $152,000 - $189,000 per year. Eligible for a discretionary incentive plan and benefits.Benefits include healthcare coverage (medical, dental, vision), HSA/FSAs, 401(k) with company match, paid time off, holidays, parental leave, and additional programs. For more details, see the company Benefits page. The San Francisco Fair Chance Ordinance applies; qualified applicants with arrest or conviction records will be considered.Early Warning is an affirmative action and equal opportunity employer. We do not discriminate on race, religion, sex, sexual orientation, gender identity, national origin, disability or other protected statuses. We value ability, potential and qualifications. #J-18808-Ljbffr

Created: 2025-09-17