Compliance Testing Associate

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

  • Support Compliance Testing Program in conducting reviews based upon the regulatory requirements, processes, policies, procedures to assess controls within the first and second lines of defense.
  • Understand the applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations.
  • Assist team in responding to regulatory inquiries, initiatives, audits and examinations.
  • Support reviews through the planning/scoping, fieldwork and reporting phases.
  • Escalate potential issues and exception items noted during the review process to senior management.
  • Ensure that the stakeholders respond with appropriate action to address all draft recommendations and deficiencies noted during the fieldwork process.
  • Perform required administrative responsibilities in support of testing, including but not limited to:
    • Preparing and entering all issues and observations into central repository.
    • Prepare and distribute testing reports to senior management detailing review findings and recommendations.
    • Prepare Workpapers documenting testing with enough detail that a third party can reasonably understand.
  • Provide assistance with the Team’s collective issues management and validation testing efforts.
  • Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Building and managing relationships with stakeholders across the business and peers within compliance.
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