Senior Compliance Testing Analyst to test regulatory requirements to ensure the business process and procedure to mitigate risk for a large banking client - 49154

Job ID:   49154
# of positions: 1
Duration: End of January 2024
Extension possible: Yes
Conversion Possible: Yes, dependent on business needs and performance
Project name/scope: Tester, does regulatory requirements to ensure the business process and procedure to mitigate risk. Internal client is Wealth, all the entities under wealth they will be working with.
Interview Process: 1 round of webex (2 managers)
Location: Hybrid, 2 days onsite a week on Monday's and Wednesdays


Description
Reporting to the Senior Manager of the ETC – Compliance Testing Team, the Senior Compliance Testing Analyst will focus on providing support the wealth testing and monitoring program. The Senior Compliance Testing Analyst models strong ethics, integrity and leadership to promote a positive work environment that fosters collaboration, innovation and synergies. The Senior Compliance Testing Analyst will be responsible for all aspects of assigned testing engagements and monitoring activities. The role requires regular interaction and communication with business personnel. Overall success is measured by timely completion of testing engagements and monitoring activities, the quality of the work performed, and the identification and risk-rating of key process and control gaps identified. The Senior Compliance Testing Analyst will:
• Plan and execute compliance testing programs and communicate compliance testing results
• Identify and document regulatory compliance controls
• Prepare documentation in accordance with established policies and standards
• Budget and be responsible for tracking of work efforts versus budgets
• Develop and execute monitoring activities
• Provide knowledgeable recommendations to businesses for control improvements
• Ensure key regulations and key regulatory changes are captured in assigned testing programs
• Participate in business initiatives as assigned
• Proactively contribute to team processes and projects
• Seek process improvements and more efficient ways to deliver value to our businesses
• Lead testing engagements and review the work of other testers



MUST HAVE:

• 5+ years experience as a Compliance Testing Analyst
• Operational Audit experience- 5+ years

NICE TO HAVE:

• Accounting designation (i.e. CPA, CA) or Audit Designation (CIA)
• Risk management certificate
• CSC/CPH and other relevant industry courses preferred
• Banking experience