General Description: Reporting to the Corporate Audit Committee with Administrative reporting to the Tompkins Financial CEO, this individual is responsible for directing the Corporate Risk Management (CRM) function including: Internal Audit, Compliance, BSA/AML, Information Security, and Risk Management for the company and its affiliates. Responsible for the Enterprise Risk Management framework and Risk Management policies. Collaborate with Board and management to develop risk appetite for various business lines and monitor their performance relative to the established limits. Shared responsibility for ensuring that effective operational and financial controls exist to support accurate financial reporting, and to identify and prevent fraud and other misconduct. Through direct reports they ensure that the company’s affiliates are in compliance with required regulations; that audit and compliance results are reported on a timely and systematic basis to the TFC Audit Committee, TFC BOD and affiliate boards. As a key member of TFC’s $10 Billion Asset Threshold working group, candidate would need to quickly absorb the various regulatory, governance, and operational impacts associated with crossing this asset threshold, and lead several sub-projects to ensure TFC’s readiness. Responsibilities also include managing and participating in key decision-making processes (i.e. strategic planning, new products and services, compensation design and operation). Routine overnight travel is required to oversee risk-related operations throughout TFC geographic footprint – to manage staff, observe risk management infrastructure and communicate with affiliate management teams and boards.
Education: Bachelors or Master’s Degree in: Business, Finance, Accounting, Criminal Justice or related field or professional degree or licensure in risk-related field (e.g., J.D.)
Experience: Minimum  years related senior management experience (including personnel management) that includes the integration of risk concepts into strategic planning, risk identification and mitigation activities in the banking, financial services or related industry. Experience with regulatory examinations, including direct interaction with regulators/examiners, is strongly preferred. Experience with physical/fraud security matters, investigations and response, including both internal fraud investigations & external fraud (payments/transfers fraud) is also plus.
Certification: One or more of the following certifications are preferred: Certified Risk and Compliance Management Professional (CRCMP), Certified Information Systems Risk and Compliance Professional (CISRCP), Certified in Risk and Information Systems Control (CRISC), Certified Internal Auditor, CPA or J.D.
Skills: Strong analytical skills and ability to quickly & proactively address evolving regulatory frameworks and fraud/threat environments. Qualified candidate must have demonstrated ability to quickly absorb technical matters outside their own area of expertise, and respond to an ever-changing regulatory & risk environment. Ability to understand TFC’s board-approved risk appetite and ensure the appropriate balance between risk prevention and business strategy execution. Adept at engaging appropriate stakeholders and peers throughout organization in risk/fraud mitigation strategies and regulatory compliance updates and implementation. Strong leadership, strategic thinking, excellent communication and presentation skills, attention to detail, independent judgment, risk assessment & problem solving kills, strong business & financial judgment and problem solving skills. Deep understanding of risk management function, including Internal Audit, Compliance, Security and Risk Management theories, practices and policy development; proficient interpersonal relations skills; demonstrated management skills. Unequivocal integrity, ethics and commitment to corporate values.
Tompkins Financial is a $6 billion in assets financial services holding company trading on NYSE MKT LLC under the "TMP" symbol. Headquartered in Ithaca, NY Tompkins Financial is the holding company for 4 affiliate banks, an Insurance Agency and a Wealth Management Company. Tompkins traces its roots to the founding of Tompkins Trust Company in 1836. In banking we provide clients with high-qua...lit...y financial products and exceptional service. We help our communities by reinvesting deposits as loans to local families and businesses, and by supporting local organizations. We are the parent company to four community banks: Tompkins Trust Company, Tompkins Bank of Castile, Tompkins Mahopac Bank and Tompkins VIST Bank. Altogether we operate 67 banking offices serving New York and Pennsylvania. In insurance, we help individuals and businesses get the coverage they need with cost savings and exceptional local service through Tompkins Insurance Agencies. And in wealth management, we collaborate with clients as a trusted advisor, providing a wealth of resources to help them build, protect, and preserve wealth through Tompkins Financial Advisors.