Compliance Testing Manager
GE Capital - Salt Lake City, UT

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GE is an equal opportunity employer, offering a great work environment, challenging career opportunities, professional training and competitive compensation.

Responsible for helping execute the GE Capital Bank (GECB) Compliance Monitoring, Surveillance and Testing program, in coordination and partnership with the GE Capital Americas (GECA) Compliance Monitoring, Surveillance, and Testing team.

Essential Responsibilities
  • Review new projects during concept phase and provide compliance monitoring and testing leadership.
  • Assist in review new and existing systems design projects and procurement plans for compliance with regulatory requirements.
  • Work across business functions to develop appropriate Tests of Design and Tests of Effectiveness to mitigate regulatory, financial and reputational risk.
  • Utilize CAP (change acceleration process) tools and personal network to influence stakeholders to implement necessary process modifications in order to ensure effective internal control environment
  • Execute annual Compliance Monitoring, Surveillance and Testing plan as scheduled and periodically report on progress to plan
  • Report surveillance and test findings to relevant process owners and Compliance leadership
  • Partner with process owners to define appropriate corrective actions for issues identified through testing, examinations and audit.
  • Track corrective action plans to timely closure
  • Coordinate with internal auditors to eliminate duplication and drive efficiency among GECA Control functions
  • Assist and provide data for Exam requests
  • Manage internal/external reporting requirements to GECA, GECB & external regulators
  • May lead and develop a small team of Compliance Testing personnel

  • Qualifications/Requirements
    Basic Requirements:
  • Bachelors degree in business, finance, or accounting.
  • Minimum of five years work experience in financial services industry.
  • Minimum of seven years of experience in banking, accounting, finance, compliance, internal control, audit, controllership or a similar function.
  • Strong financial or compliance background, with specific understanding of internal controls or compliance testing.
  • Experience in implementing change; ability to mobilize teams around strategic vision and successfully deliver timely results.
  • Strong verbal and written communication skills; ability to tailor communications to varying audiences and confidently articulate potential cost/benefit to the organization and motivate teams.
  • Influencing skills; ability to read stakeholders and influence across the organization at varying levels.
  • Experience working independently and cross-functionally.
  • Proficiency in Microsoft Office Suite applications.
  • Leadership skills and experience.
    Eligibility Requirements:

  • Must submit your application for employment through COS (internal candidates) or (external candidates) to be considered for this job opening.
  • Must be willing to comply with pre-employment screening, including but not limited to, drug testing, reference verification and background check.
  • Must be willing to travel 20% of the time.
  • Must be willing to work out of an office in Chicago, IL or Salt Lake City, UT.
    For U.S. employment opportunities, GE hires U.S. citizens, permanent residents, asylees, refugees, and temporary residents. Temporary residence does not include those with non-immigrant work authorization (F, J, H or L visas), such as students in practical training status. Exceptions to these requirements will be determined based on shortage of qualified candidates with a particular skill. GE will require proof of work authorization.

  • Additional Eligibility Qualifications
    GE will only employ those who are legally authorized to work in the United States for this opening. Any offer of employment is conditioned upon the successful completion of a background investigation and drug screen.

    Desired Characteristics
  • Audit or regulatory exam experience preferred
  • Familiarity with and operating understanding of retail deposit products and processes
  • Effective project management and organizational skills
  • Attention to detail and follow up skills essential
  • Lean Six Sigma trained and/or tested
  • Professional certification highly desired i.e. CIA (Certified Internal Auditor), CBA (Certified Bank Auditor), CRCM (Certified Regulatory Compliance Manager).
  • Experience with business process mapping and MS Visio software application
  • Strong Excel skills
  • GE Leadership Program experience (e.g. FMP, CAS, etc.)
  • Regulatory experience
  • Strong analytical, problem solving and resolution skills

  • Section 19 Job

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    At GE Capital we’re not just bankers, we’re builders. Headquartered in Norwalk Connecticut, GE Capital is one of the...