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Investment Bank

Compliance Monitoring and Testing Consultant

  • New York, NY
  • Temporary / Contract

Apply for the Compliance Monitoring and Testing Consultant position

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Pay Rate: $65-90/hour (depending on experience)


Compliance Testing Program

  • Lead and /or perform compliance testing, identify issues and make recommendations andreport the result
  • Assess the design and effectiveness of controls implemented to mitigate the applicableregulatory and consumer compliance risks
  • Identify potential compliance issues and risks and recommend resolutions and/or escalateto appropriate individuals to determine if further investigate is deemed necessary
  • Develop test scripts corresponding to scope of the testing engagement and businessexpectations
  • Collaborate with business lines to develop remediation plans to resolve controlweaknesses identified through testing
  • Track and validate the implementation of remedial actions submitted by the businessowners to verify that issues identified during testing are remediated. Follow up withbusiness owners as necessary
  • Prepare reports for Management that highlights the scope, testing approaches, the resultsand compliance testing activities
  • Review processes and recommend areas of improvement


Operational Management

  •  Lead compliance reviews for which he/she was assigned as a lead tester by the Head ofCMTG
  • Supervise work of other testers assigned to the review, manage day to day work, assigntasks, and provide guidance and advice


Compliance Testing Program Administration

  • Assist in the development and execution of the Compliance Review Program
  • Assist in the development of the annual Compliance Review Plan
  • Serve as subject matter expert on compliance testing and provide consultative support tobusiness lines on compliance matters
  • Monitor regulatory activities and industry developments to identify trends and emergingissues that may have an impact on the bank and the compliance testing program
  • Assist in enhancement of Compliance Review Program