International Banking Client
Office Status: Hybrid
- 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.