Madison-Davis
EXTERNAL ROLE
Job Details:
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Analyze consumer compliance regulatory risk based upon the Bank’s Consumer Compliance Regulatory Risk Assessments. -
Prepare practical work programs that effectively test compliance with the applicable regulations of the bank’s operations. -
Conduct compliance reviews to determine the effectiveness of the Bank’s compliance program in an effective and timely manner. -
Assess and challenge whether the control framework meets regulatory expectations -
Prepare detailed workpapers to support the results of the review -
Report and present findings and observations. -
Develop draft report of review results. -
Track the status of issues identified during reviews, assess the actions taken and ensure they remediate the risks. -
Complete monthly governance reporting.
Job Requirements:
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A Bachelor’s Degree. -
Five to seven years of experience conducting consumer compliance testing or audits within banking, financial services or examination experience at a financial industry regulator. -
Five to seven years of experience working with US Banking consumer regulations (CRM and/or Securities or Insurance Industry regulation knowledge is a plus). -
Knowledge of banking products, processes, systems and controls -
Highly effective at identifying compliance risks, determining root causes and recommending actionable solutions. -
Experience conducting control design assessments and operating effectiveness testing. -
Excellent analytical, communication and report preparation skills. -
Familiarity with workpaper system(s) and workpaper -
Manage time effectively and meet deliverable due dates. -
Ability to communicate effectively with all levels of personnel. -
Confidence to professionally challenge stakeholders -
Capable of dealing with conflict and achieving solutions through negotiation.