Manager – Regulatory And Financial Compliance Testing And Monitoring

Full Time

Madison-Davis

EXTERNAL ROLE

Job Details:

  • Develop, lead and maintain a high performing team responsible for the testing and monitoring program;
  • Drive innovative change throughout the testing program by developing and implementing leading edge, transformative ideas for testing automation, data analysis, and visualization of risks and test results;
  • Manage the development and implementation of testing methodology and procedures and the development and/or enhancement of test scripts that correspond to the scope of the engagement, including (but not limited to): identifying documentation and testing standards, defining results criteria/classification and reporting templates, determining review and supervision requirements, setting the calendar change management and approval process, and ensuring a closed loop process for quality assurance for overall process improvement;
  • Liaise with testing team leads, who are responsible for second line test execution across the company – taking into consideration their feedback and suggestions on program operations and maintaining a productive working relationship;
  • Monitor regulatory activities and industry developments to identify trends and emerging issues that may have an impact on the Bank and the compliance testing program.
  • Oversee the tracking and validation of the implementation of remedial actions by the business units to verify that compliance issues or weaknesses in controls as identified during testing are remediated.
  • Assess trends from quality assurance activities and provide coaching to test team leads or additional training as needed;
  • Interact with internal and external auditors and compliance leaders, as well as business leaders;
  • Maintain organizational and professional ethical standards, while monitoring compliance with testing program procedures; and
  • Promote and foster an environment that adheres to our Corporate values.

Basic Qualifications:

  • Bachelor’s Degree
  • At least 7 years of experience in regulatory compliance management or risk management
  • At least 5 years of experience in people management
  • At least 3 years of experience managing risk management or control programs

 Preferred Qualifications:

  • Master’s degree or Law degree
  • Previous experience in risk management testing at a large financial institution
  • Previous experience in a compliance risk governance role at a large financial institution
  • Certified Risk Professional or Certified Regulatory Compliance Manager certification
  • At least 10 years of experience in regulatory compliance management, risk management, or a related field
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