Controls & Testing Compliance Officer
Responsibilities:
• Manage oversight reviews to evaluate various aspects of the Business-aligned compliance oversight programs
• Work with line of business, legal, risk, and compliance management to identify and assess risks
• Develop and execute an appropriate compliance testing plan and ensure that corrective action is fully implemented to address testing, audit, regulatory, and/or self-identified issues
• Review controls documentation completed by the Business-aligned Compliance teams to ensure adherence to the methodology
• Conduct detailed testing of internal controls, policies, procedures, and processes related to compliance with applicable regulations
• Writing test reports that effectively communicate testing processes, observations and results
• Create and present training materials related to the procedures that govern the Business-aligned compliance oversight programs
• Assist with annual regulatory risk assessment activities of all lines of business
• Manage less experienced staff on a day-to-day basis and provide real-time feedback
• Develop working relationships with global Business-aligned Compliance teams
Qualifications:
• Bachelor’s Degree
• Minimum of 4 years of work experience with internal controls, monitoring and testing, or compliance audit in the financial services industry
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