Compliance Tester

What you will be doing:

• 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.