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Associate Director, Business Control & Risk Management, Exam Management

Dorchester, Massachusetts

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Success Profile

What makes someone successful at Santander?
Check out the top traits we’re looking for and see if you have the right mix.

  • Enthusiastic
  • Entrepreneurial
  • Outgoing
  • Personable
  • Problem-solver
  • Results-driven

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Benefits & Rewards

  • Healthcare

    Medical, Dental, Vision Pre-tax Health Accounts, Short- and Long-term Disability EAP, Health Advocate Services

  • Savings Plans

    401(k) Retirement Plan Up to 5% 401(k) Matching Additional Investment Options

  • Family Support

    Paid Parental Leave, Adoption Assistance, Dependent Care FSA, Tax-advantaged Transit/Parking Legal Assistance Plan

  • Insurance

    Life, accidental death, business travel accident, long- and short-term disability insurance coverage

  • Additional Perks

    Tuition and computer purchase reimbursement, plus discounts for cell phone, fitness and auto/home insurance

  • Work/Life Balance

    Paid Time Off (PTO), Holiday Time Off, Volunteer PTO, Travel Discounts

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Job Description

Req ID: 2105386

The Associate Director, Exam Management operates within the first line of defense. This role will be the key point of contact for SBNA Operations in Internal and External reviews. They will be responsible for proactively maintaining a calendar of planned reviews, coordinating the gathering of documentation requested prior and during exams/reviews and storing it for future reference. This role will also coordinate responses to exam findings and support the Head BCO with continuous improvement initiatives.

The Associate Director must be able to effectively lead and collaborate with various stakeholders while influencing strategic goals.

Responsibilities

  • Coordinating interactions with Regulatory Relations and Governance Team/SLOD/Internal Audit and internal stakeholders, including but not limited to: assisting in providing oversight for engagement; facilitating review and approval of documentation prior to submission, coordinating and managing events related to examinations and continuous monitoring, including working with businesses and functions in negotiating scope and timing of reviews, monitoring requested data aggregation and coordinating and attending regulatory meetings with control functions and business
  • Providing regular updates to management (including preparing business personnel for meetings with regulators) regarding the matters being handled, including, but not limited to, collection, tracking and resolution of queries, review with the area under examination the materials requested to ensure completeness and responsiveness of submissions, and the timely escalation and resolution of potential issues.
  • Establishing and developing effective relationships with SBNA Operations senior management, front line, second line (including independent risk, finance, HR, and Legal), Internal Audit to obtain information / documentation to respond to regulatory requests proactively and on time with quality.
  • Analyzing, digesting and summarizing information/documentation responsive to exam/reviews requests.
  • Identifying mitigating facts and circumstances (as applicable) to respond to potential issues identified during engagement, including the various stages of the exam management lifecycle.
  • Monitoring the full lifecycle of identified regulatory issues ensuring that concerns are communicated, assigned responsibility, and tracked to resolution.
  • Maintaining the centralized repository where documents are stored and previous regulatory and supervisory findings, reports and similar documents.
  • Stewarding the drafting of the firm’s Response Letters and coordinating involvement of relevant internal stakeholders such as Technology and Internal Audit on the development of Corrective Action Plans and associated target dates.
  • Additional duties as assigned, for instance Business Control and Risk Management continual improvement initiatives

Education & Work Experience

Bachelor's Degree; Accounting, Business, Statistics, Risk Management, Information Systems, Finance, Economics or equivalent field

Master's Degree; Accounting, Business, Statistics, Risk Management, Information Systems, Finance, Economics or equivalent field, or equivalent work experience

12-15 years; Risk Management, Operations, or Controls; Change & Process Management Consulting; Experience managing product or service delivery to financial services customers; Financial Industry experience.

Skills & Abilities

  • Ability to anticipate the impact of regulatory and other environmental factors and proactively take action to ensure the team/function/enterprise is prepared.
  • Ability to build credibility with, collaborate with, and influence line of business executives.
  • Ability to build internal and external networks of information resources within the risk management ecosystem.
  • Ability to collaborate with internal and external service providers to establish resource requirements, scheduling, assignments and service levels.
  • Ability to develop a mentoring culture with both senior experienced team members and junior staff.
  • Advanced understanding of the regulatory environment and how the risks of the products and services the bank offers are viewed by the Second Line of Defense and regulators.
  • Deep knowledge of the financial services sector, particularly with the competitive dynamics and products in retail banking and risk management.
  • Demonstrated experience delivering risk execution across multiple business lines offering a wide variety of financial services products and services.
  • Demonstrated judgement in escalation, ensuring risk-based clear line of sight for senior executives into existing and emerging issues/incidents.
  • Demonstrated thought leadership and application of operational risk identification and mitigation practices and procedures.
  • Minimal physical effort such as sitting, standing, and walking.  

Competencies

  • Brings out the best in each team member by consistently motivating and acknowledging peer contributions
  • Understands and leverages team dynamics
  • Effectively conveys difficult or complex information in an easy-to-understand manner, by providing the big picture and illustrating important linkages
  • Asks open-ended questions that encourage others to give their points of view
  • Ensures people receive the information they require and brings the team together to share information
  • Ensures that all directs and colleagues have appropriate knowledge of risk and the regulatory environment
  • Investigates and identifies the root cause and corrects items deemed non-compliant, regardless of pressures from business or management
  • Fully accountable for timeliness, completeness, quality of projects, processes, products and services
  • Remains calm and focused on goals while facing pressures, obstacles or short-term setbacks
  • Improves relationships between key individuals to achieve seamless cross-team workflow and positively impact results
  • Uses informal networks to gain support for ideas and projects
  • Keeps up to date with external market events, pressures and regulations which may impact the organization and assesses whether similar issues exist in the organization
  • Can identify functional and organizational implications associated with major trends
  • Designs solutions to address industry activities that impact the organization
  • Monitors adherence to policies, regulations, processes and procedures within function and actively undertakes corrective action where necessary
  • Understands end to end processes across the organization and how processes are integrated
  • Has a practical knowledge of regulations impacting area supported

At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams.  We actively encourage everyone to apply.


Primary Location: Dorchester, Massachusetts, United States


Other Locations: Massachusetts-Dorchester


Organization: Santander Bank, N.A.

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