Job Description

Draft testing scopes that include applicable regulatory requirements and adhere to established compliance testing policies & procedures;

Conduct compliance testing to evaluate the effectiveness of internal controls for compliance with applicable regulatory requirements and corporate policy;

Complete assigned testing in accordance with the annual testing plan and adequately document the evaluation of the effectiveness of the internal controls;

Confirm that compliance issues identified during testing are followed-up on, and corrective action plans are properly executed to mitigate or remediate risk;

Socialize and report testing results while working to ensure timely completion, including the validation of all corrective actions;

Maintain a strong working knowledge of rules, regulations, and regulatory guidance impactful to the Firm’s holding company, affiliate legal entities, and business activities;

Perform other duties and special projects, as may be assigned.

 

 

Skills and experience:

 

5 years of experience in a Regulatory Testing/Examiner/Audit role

At least 8 years of experience within financial services with a strong understanding of testing methodologies within in one or more of the following entity types:  Bank Holding Company , Trust Company, Broker-Dealer, Registered Investment Advisor, International Securities Firms, or Recordkeeping Administration Firm

Enterprise-wide expertise in one or more of the following compliance risks:  Privacy, Anti-Money Laundering, Conduct, Third Party, Conflicts of Interest, Fiduciary, Human Resources, Finance, or Technology

Familiarity with the execution of Second Line of Defense compliance testing including compliance risk management principles

Excellent attention to detail and the ability to work independently

Strong written and oral communication skills

Sound organization and prioritization skills