Background on the Team Global Compliance Testing and Governance (GCT&G) is responsible for governance and oversight of compliance testing activities and the establishment of firm-wide minimum compliance testing standards. GCT&G is also responsible for developing and executing a risk-based test plan, including tests of enterprise-wide compliance controls and periodic assessments of Compliance testing programs. The group often plays an advisory role and produces key reports/metrics and training on testing standards and best practices.
Position Description The successful candidate will be part of the GCT&G team based in New York. He/she will report to Global testing head and execute enterprise-wide reviews. Responsibilities include the following:
Work effectively with Compliance testers and management across different time-zones and regions and demonstrate strong ability to multitask
Conduct information gathering sessions with business and or control function senior management and support staff
Develop and execute risk-based testing programs covering key risks, controls, processes, and specific test steps for each area of review
Develop risk-based scenarios in test scoping and leveraging data analytics as appropriate
Communicate and escalate test results, including issues and approved action plans to Compliance management and the business and or control function being tested
Develop regional and global testing programs across different business silos in accordance with established standards, demonstrating the ability to work independently from start to completion.
Partner with the Quantitative Data Analytics team in Compliance to identify opportunities to evolve testing through data-driven techniques or automation
Advance documentation standards for use of data analytics in testing
Prepare test reports for completed reviews in line with the testing standards (e.g., reconcile to test work performed)
Review test work papers and test reports completed by junior staff to ensure conclusions, issues, action plans, and work paper documentation are accurate, complete, and consistent with Firm testing standards
Maintain awareness of current industry rules, regulations and best practices to ensure that the testing program meets regulatory standards
Required Experience and Attributes
More than seven years of relevant experience in testing and a strong understanding of financial markets and banking
Awareness of current laws, rules, and regulations
Strong client-relations skills and ability to partner with business and control functions to develop practical business solutions that comply with applicable laws and regulations
Capable of researching and resolving issues independently
Facility with various PC, MS Office and internet applications
Strong analytical thinking and critical reasoning skills
Ability to thrive in a fast-paced environment and successfully meet deadlines
Self-motivated, independent, effective time manager
Strong inter-personal, verbal, and written communications skills; capacity to convey a confident, professional, and positive attitude.
Creative and intuitive
Consistently complete work on time without compromising quality
Hold self and others accountable for demonstrating the highest ethical standards.
Dedicated to continuous learning and development of one's own skills, including technical, business, inter-personal, written, and informal verbal communication.
Set and measure performance of annual personal and professional goals
Testing experience plus accounting or professional audit qualifications (CPA/CA, CIA, CISA).
Knowledge of data analytics, manipulation techniques and hands-on experience working with large volumes of data.
Financial services experience strongly preferred
Internal Number: 4859663
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