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Commercial Banking - Finance – Head of Regulatory Controls and Wholesale Lending QA - ED

Job Description

Commercial Banking (CB) seeks an experienced candidate to oversee three critical and highly visible controls-related programs: CB’s Sarbanes-Oxley Compliance Program (SOX), CB’s Comprehensive Capital Analysis and Review (CCAR) controls program, which includes a SOX-like attestation framework, and a QA function around regulatory reporting which covers all of wholesale lending firmwide. 
 
The role supports the CB executive attestations regarding the control environment for SOX and CCAR programs, and supports the Firmwide External Reporting Controller for wholesale loans (WL – FERC).  This role is a direct report to the WL – FERC.   
 
Responsibilities include:
  • Lead a team of VPs and Associates in navigating through dynamic and developing programs
  • Maintain overall governance for  CCAR and SOX attestation programs for Commercial Banking
  • Maintain end-to-end assessment of control environment for wholesale loans across the firm, particularly around CCAR Schedule H – Wholesale Risk, including updates to and maintenance of process flows and all required supporting documentation
  • Prepare and present executive-level presentations to the LOB CEO, CFO, Controller, and CRO on a quarterly basis in support of the executive attestations for SOX and CCAR
  • Prepare and present on an as-needed basis to the firm’s Regulatory Reporting Steering Committee
  • Maintain issues and errors management, including assessment for impact to the firm’s reported  capital for CCAR 
  • BS in Accounting
  • CPA or equivalent credential
  • 7-10+ years in an Audit, Accounting, Internal Control and/or Finance role
  • Solid understanding of internal control framework (i.e. experience with SOX a big plus)
  • Experience with wholesale lending in credit, operations or reporting functions
  • Experience managing a team of high performers
  • Ability to develop risk-based approaches to control environment assessments and QA reviews
  • Proven track record of taking ownership of processes and delivering high quality workproduct
  • Strong verbal and written communication skills, particularly with issue escalation
  • Ability to understand the big picture while maintaining a detailed focus on reporting requirements
  • Ability to document and prepare executive-level presentations of findings  (PowerPoint)
  • Strong work ethic
  • Foundational knowledge of Regulatory/SEC reports and related requirements
  • Experience with wholesale lending in credit, operations or reporting functions
Req #: 180040879
Location: Chicago, IL US
Job Category: Accounting/Finance/Audit/Risk
Employment Type: Full Time
Potential Referral Amount: 6500 US Dollar (USD)

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