Banc of California, Inc. (NYSE: BANC) is a bank holding company with approximately $8 billion in assets and one wholly-owned banking subsidiary, Banc of California, N.A. (the “Bank”). With our 600+ dedicated professionals, we provide customized and innovative banking and lending solutions to businesses, entrepreneurs and individuals throughout California. We proudly partner with community organizations that provide financial literacy, job training, small business support, and affordable housing to help improve the communities where we live and work. With a commitment to service and building enduring relationships, we provide a higher standard of banking.
JOB SUMMARY:
Responsible for preparing and maintaining IT control documentation and conducting evidence gathering. Evaluates the quality of the evidence and verifies its completeness, accuracy and validity on the Self-Assessment deliverables. Compiles and ensures the IT General Control (ITGC) artifacts meet required quality standards. Prepares status reports surrounding the receipt of prepared and reviewed ITGC artifacts. Assists the IT process control owners with the preparation of ITGC artifacts and analyses on an as needed basis. Performs all duties in accordance with the company’s policies and procedures, all U.S. state and federal laws and regulations, wherein the company operates.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
Responsible for the collection of SOX self-assessments documentation which evidences the quality and compliance of network, databases, applications and operating systems controls.
Documents and communicates gaps between required and collected IT SOX documents to the IT Security and Compliance Manager in a timely manner.
Reviews all ITGC documents collected and verifies that the documents show evidence that controls are enforced as per the internal control descriptions.
Verifies relevant artifacts are collected and archived for audit purposes based on control frequencies.
Effectively communicates status of collected/uncollected ITGC documents with control owners.
Coordinates with each control owner the prioritization and timely execution of self-assessments.
Works with Compliance Manager to consistently apply superior decision making techniques pertaining to inquiries, approvals and requests as they apply to existing policies and procedures.
Accepts and performs assigned responsibility for special deliverables on an as needed basis.
Identifies event triggers or gaps within internal control processes by analyzing unmitigated and/or residual risk.
Treats people with respect; keeps commitments; inspires the trust of others; works ethically and with integrity; upholds organizational values; accepts responsibility for own actions.
Follows policies and procedures; completes tasks correctly and on time; supports the company’s goals and values.
Demonstrates knowledge of and adherence to EEO policy; shows respect and sensitivity for cultural differences; educates others on the value of diversity; promotes working environment free of harassment of any type; builds a diverse workforce and supports affirmative action.
Performs the position safely, without endangering the health or safety to themselves or others and will be expected to report potentially unsafe conditions. The employee shall comply with occupational safety and health standards and all rules, regulations and orders issued pursuant to the OSHA Act of 1970, which are applicable to one’s own actions and conduct.
Performs other duties and projects as assigned.
Banc of California is an equal opportunity employer committed to creating a diverse workforce. All qualified applicants will receive consideration for employment without regard to age (40 and over), ancestry, color, religious creed (including religious dress and grooming practices), denial of Family and Medical Care Leave, disability (mental and physical) including HIV and AIDS, marital status, medical condition (cancer and genetic characteristics), genetic information, military and veteran status, national origin (including language use restrictions), race, sex (which includes pregnancy, childbirth, breastfeeding and medical conditions related to pregnancy, childbirth or breastfeeding), gender, gender identity, gender expression, and sexual orientation.
ESSENTIAL KNOWLEDGE, SKILLS, AND ABILITIES:
Demonstrates knowledge of, adherence to, monitoring and responsibility for compliance with state and federal regulations and laws as they pertain to this position including but not limited to the following: Regulation Z (Truth in Lending Act), Regulation B (Equal Credit Opportunity Act), Fair Housing Act (FHA), Home Mortgage Disclosure Act (HMDA), Real Estate Settlement Procedures Act (RESPA), Fair Credit Reporting Act (FCRA), Bank Secrecy Act (BSA) in conjunction with the USA PATRIOT Act, Anti-Money Laundering (AML) and Customer Information Program (CIP), Right to Financial Privacy Act (RFPA, state and federal) and Community Reinvestment Act (CRA).
Knowledge of the functional aspects of desktop applications.
Working knowledge of compliance audit execution, coordination and testing.
Effective organizational and time management skills.
Advanced analysis and problem solving skills utilizing Excel.
Advanced skills in computer terminal and personal computer operation; asset/contract management software programs, and Microsoft Office applications including but not limited to: Word, Excel, PowerPoint and Outlook.
Intermediate typing skills to meet production needs of the position.
Intermediate math skills; calculate interest and percentages; balance accounts; add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimals; locate routine mathematical errors; compute rate, ratio and percent, including the drafting and interpretation of bar graphs.
Excellent oral, written and interpersonal communication skills.
Ability to make informal and formal presentations, inside the organization; speaking before assigned team or other groups as needed.
Ability to work and communicate with all levels of employee and management in a supportive and analytical role.
Ability to apply common sense to carry out instructions, interpret documents, understand procedures, write reports and correspondence, and speak clearly to customers and employees.
Ability to organize thoughts and ideas into understandable terminology.
Ability to deal with complex problems involving multiple facets and variables in non-standardized situation.
Ability to communicate with individuals utilizing a telephone; requires ability to hear and speak effectively on the telephone.
Ability to work with general supervision while performing duties.
EDUCATION, EXPERIENCE AND/OR LICENSES:
Associate’s or bachelor’s degree in IT, finance or related field.
Three (3) to five (5) years’ experience in the IT field.
Experience in coordinating IT SOX assessments, change management and audit projects.
Experience related to IT compliance within the financial services industry preferred.
