Vice President – Financial Crimes Independent Testing, Quality Assurance
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Job Description
Pathward, a financial empowerment company, seeks a VP to lead Financial Crimes independent testing and quality assurance. Overseeing risk-based controls, governance, remediation, reporting, and QA teams.
Responsibilities:
- Lead and oversee the enterprise Financial Crimes Independent Testing and Quality Assurance Program across BSA/AML, Sanctions, Fraud, and related Financial Crimes Compliance activities
- Establish the strategic vision, governance framework, operating model, standards, and risk-based testing universe
- Develop annual and ongoing testing plans covering Financial Crimes processes, risks, controls, and activities across the First and Second Lines of Defense
- Oversee independent testing of risk assessment, CDD/EDD, KYC, transaction monitoring, SAR escalation, sanctions screening, fraud detection, customer risk rating, high-risk customer management, reviews, governance, and data quality
- Establish testing standards, procedures, documentation requirements, sampling methodologies, scoring frameworks, defect taxonomies, issue severity methodologies, and reporting standards
- Oversee execution of the Independent Testing and QA Plan by the QA Manager and team
- Review testing results, findings, thematic observations, documentation, progress, resource capacity, and coverage gaps
- Lead thematic and horizontal reviews to identify systemic weaknesses, recurring deficiencies, emerging trends, and control blind spots
- Establish issue management and remediation validation frameworks; approve significant finding severity ratings and escalate high-risk or systemic issues
- Develop executive-level reporting on testing coverage, QA results, significant findings, systemic issues, control effectiveness, emerging risks, remediation, and program metrics
- Provide independent and credible challenge to Financial Crimes management and stakeholders
- Coordinate with Internal Audit, Model Risk Management, Risk Management, Technology, business lines, and Financial Crimes Compliance
- Support regulatory examinations
- Continuously improve methodologies, tools, analytics, automation, reporting, training, calibration, and knowledge sharing
- Lead and mentor the Financial Crimes QA and Independent Testing team, including the QA Manager
Requirements:
- Bachelor's degree in Finance, Business, Risk Management, Compliance, Accounting, or related field
- 10–15+ years of progressive experience in Financial Crimes, BSA/AML, Sanctions, Fraud, Risk Management, Compliance, Quality Assurance, Compliance Testing, Internal Audit, or related functions
- Significant experience leading Financial Crimes QA, independent testing, compliance testing, audit, or assurance programs
- Demonstrated experience evaluating Financial Crimes processes and controls across operational and compliance functions
- Strong knowledge of regulatory requirements, FCRM, internal control frameworks, control design and operating effectiveness testing, QA and independent testing methodologies, three lines of defense frameworks, governance, issue management, and remediation
- Experience leading teams and managing complex testing or assurance programs
- Experience providing credible challenge to senior management and stakeholders
- Strong analytical, strategic, and judgment capabilities
- Preferred: CAMS, CFE, CRCM, CIA, CPA, or similar professional certification
- Preferred: Experience with Transaction Monitoring, Customer Risk Rating, CDD/KYC, sanctions screening, or Financial Crimes technology platforms
- Preferred: Experience with NICE Actimize or similar Financial Crimes systems
- Preferred: Experience with Financial Crimes model governance
- Preferred: Experience supporting regulatory examinations and remediation programs
- Preferred: Experience developing enterprise-level testing methodologies and risk-based testing plans
- Preferred: Experience leveraging data analytics, automation, and reporting tools
Benefits:
- Annual performance-based incentive opportunity
- Health insurance
- 401(k) retirement benefits
- Life insurance
- Disability benefits
- Paid time off
- Comprehensive benefits package for eligible employees
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