Compliance Testing Manager-Governance & Standards
The Compliance Testing Manager assists the Senior Manager of Governance and Standards (G&S) in the development and implementation of all G&S initiatives. Highly knowledgeable in the area of compliance testing with a thorough understanding of compliance risk and controls. Administer a robust quality assessment and improvement program and provide guidance in the continued management and development of the testing program and risk prioritization process. Pay Range:
$99,731.70 - $132.144.50 - $197,468.76
$99,731.70 - $132.144.50 - $197,468.76
- Manage Quality Assurance reviews of testing activities performed by the Enterprise Compliance Monitoring and Testing (ECMT) team through an assessment of workpapers and supporting documentation.
- Assist in the development and maintenance of the Annual Testing Plan - maintain awareness of internal and external inputs that drive the compliance risk environment and maintain workpapers and change control logs related to the Annual Plan decisions and periodic refreshes.
- Act as a Subject Matter Expert in the ECMT Methodology and templates, providing guidance to the ECMT team when required.
- Provide feedback and areas for improvement across G&S and Testing Team templates and documentation.
- Support the Senior Manager of G&S in executing the following:
- reporting on testing plan activities and issues raised,
- information requests from third parties (regulators, internal audit, etc.)
- coordinate training sessions, as needed, to the ECMT team,
- management of KPIs and KRIs related to department performance and the potential risk created by issues raised.
- Ensures proper engagement with areas supported to respond to any audit or regulatory review-related matters or inquiries.
- Complete all required compliance and other firm required training.
- Maintain knowledge of and adhere to all applicable internal compliance policies and procedures and other internal policies and procedures applicable to role.
- Ability to travel as needed.
ADDITIONAL ACCOUNTABILITIES
- Performs special projects, and additional duties and responsibilities as required.
- Consistently adheres to regulatory and compliance policies and standards linked to the job as listed and complete required compliance trainings. Accountable to maintain compliance with applicable federal, state and local laws and regulations.
Required
Qualifications:
- Education level required:
Undergraduate Degree (4 years or equivalent) - Minimum experience required:
7
Years of Financial Services experience, preferably at least half of those years in Compliance Testing, Internal Audit function, or a financial services consulting firm (e.g., PWC, E&Y, Grant Thornton, other) with regulatory compliance testing as an area of focus.
Preferred
Qualifications:
- CRCM, ACAMS, Securities Licenses preferred but not necessary.
Job Competencies:
- Excellent knowledge of consumer protection laws and regulations impacting financial institutions.
- Excellent communication skills including presentations, group facilitation skills.
- Proven ability to partner effectively across all levels of the organization and develop positive working relationships.
- Excellent organization skills.
- Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines.
- Ability to travel as needed.
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