Compliance Tester

Compliance Testing Assistant

Assist the Director of Monitoring in Testing with reporting related to the Compliance Testing Plan and its results

Work independently with Director oversight to conduct and deliver Compliance Testing reviews on the plan in a timely manner and with an appropriate standard of quality

Assist the team in tracking and validating corrective action plans

Work across departments to develop a monitoring inventory and monitoring standards, identifying gaps and creating project plans where needed

Apply practical, proportionate and sustainable remediation to compliance risk and conduct issues identified in the course of monitoring and testing

Assess optimal technology solutions for conducting testing reviews, creating the monitoring inventory, and implementing monitoring standards

Proficient in writing clear, concise testing reports

Understanding of industry practices and disciplines ideally having implemented and/or developed second line compliance monitoring and testing frameworks in the past

Excellent written and verbal communication and stakeholder management skills at all levels of the organization

Proficient engagement, influencing and negotiating skills

Proficient in investigative and analytical thinking

Ability to convert high level strategy and goals into operational plans

Strong control and risk management mindset

Minimum bachelor's degree. Postgraduate degree (e.g., JD, MBA) or compliance / testing / audit certifications a plus

5-7 years experience of compliance testing / monitoring / auditing / risk management. Regulatory experience a plus

Advanced proficiency in Microsoft Office (i.e., Word, Excel, PowerPoint) and SharePoint required. Familiarity with Governance, Risk & Compliance (GRC) tools (e.g., Archer) a plus

Knowledge of a financial market utility or FMU regulatory environment, key legislative requirements and practical implications would be beneficial

Experience interfacing with regulators would be beneficial

Experience in executing annual monitoring and testing plans

Familiarity with corporate compliance programs and standards relative to Client SR 08-8 would be beneficial