Lead - Risk & Compliance

Job Description :

• Provide management with expertise on IT general controls effectiveness and operational audit oversight.
• Provide guidance to Guardian's IT organization around IT general controls. Evaluate controls that are in place and ensure compliance with Guardian's corporate policies and regulatory requirements.
• Serve as lead to manage the IT Risk and Controls Book of Work including testing for SOC1, SOC2, MAR (similar to SOX), Control Assurance, etc.
• Be able to leverage work across different assurance groups, i.e. MAR, PwC, Internal Audit, State examiners, etc. to create efficiencies and eliminate redundancies.
• To achieve this objective, this position must effectively work with resources within the IT organization (infrastructure and development areas) as well as compliance resources across the entire firm, external auditors / examiners, and minimize work by leveraging audit findings and recommendations from one group to another.
• Major Opportunities and Decisions :
• Manage the IT Risk and Controls Book of Work including managing the resources and able to pivot based on resource availability and activities.
• Provide leadership to the analysts and ensure proper completion of activities and manage escalation to senior leadership.
• Provide solutions to IT areas to ensure proper controls are in place based on policies, regulations and best practices.
• Perform the terminated worker quality assurance process, source report validation (prep for audit), spot-test manual access and investigate root cause - to help ensure controls are continuously operating effectively.
• Manage remediated exceptions prior to formal retest by MAR, IA, and PwC auditors.
• Educate and influence IT employees and management on internal control issues and best practices.
• Leverage resources across IT and business areas as needed
• Principal Accountabilities : (List 6-8 major areas of responsibilities in order of importance, and purpose of these activities. In addition, identify percent of time normally spent and whether the activity is an essential or minor function.)Based on the focus areas highlighted above, the following matrix expands upon these activities. Please note that the % of time varies to where the Project is within its relative Project Life Cycle.

Accountability

Activity

SOX / MAR expanded testing support and Reporting – 50%

Education and Experience : (Identify types and length of education and experience needed to acquire the necessary skills and knowledge to accomplish the desired end results.)

Education :

Location :

This position can be based in any of the following locations :

Chennai

Current Guardian Colleagues : Please apply through the internal Jobs Hub in Workday

Skills Required

Ms Excel, Linux, Change Management, Active Directory, SOC2, Sql, Oracle, Aix, Db2, IT General Controls, Udb, Splunk