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Compliance Testing Manager
Our client, a large financial services institution in the NYC metro area is seeking to add a Compliance Testing Manger to Support the efforts of the Compliance Department to ensure THE FIRM’s adherence to regulatory and compliance requirements as they relate to all lines of business and across all functional areas of the various subsidiary companies.
Principal Responsibilities:
• Maintains awareness of regulatory changes and ongoing changes in THE FIRM’s businesses.
• Interfaces and builds relationships with other control functions to understand tactical and big picture issues in the organization.
• Identifies and evaluates compliance risks associated with THE FIRM’s products, services, customers, and operations.
• Develops test plans to assess the effectiveness of the control environment established by THE FIRM to comply with applicable laws and regulations.
• Executes test plans and identifies meaningful issues.
• Assists the business with identifying sustainable corrective actions.
• Documents work performed clearly and concisely and prepares well-written reports.
• Recommends improvements to compliance testing processes.
• Demonstrates and embeds the behaviors and competencies that create a risk management mindset in the organization.
• Provides compliance support to THE FIRM’s Compliance Liaisons, the Compliance Department’s Business Unit Liaisons, and THE FIRM’s business units.
Experience:
• 5+ years experience; previous compliance experience, legal, testing or auditing is preferred
Knowledge and Skills Required:
• Strong audit, internal controls, regulatory, and/or compliance testing skills.
• Strong written and verbal communication skills.
• Strong knowledge of the financial service industry and regulatory environment.
• Strong interpersonal, organizational, analytical, and project management skills.
• Ability to interpret laws and regulations and communicate that information to management and line personnel.
• Ability to analyze risks and recommend controls to mitigate regulatory compliance risk.
• Ability to interface with various levels of management at THE FIRM.
Please forward all resumes in confidence to Kyle Marszalek at **********@peakaudit.com.
