Compliance Testing Senior Analyst - Horizontal Programs/ Swap Dealer- AVP - Hybrid

Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense for Institutional Clients Group (ICG). Also responsible for performing independent testing activities (testing and on-going monitoring) to assess the design and effectiveness of key controls addressing compliance risks; reporting and escalating control issues and violations of laws or policy breaches; and validating adequacy of remediation taken to address reported issues.

Responsibilities:

• Participating in the planning, executing, and reporting of compliance testing reviews, monitoring and issue validation activities, globally, in accordance with the Compliance Testing (CT) Plan, focusing on horizontal programs (e.g. Volcker Rule, Swap Dealers, Futures Commission Merchant)
• Executing compliance controls and transactional testing through various means including stakeholder meetings, walkthroughs, and record request and analysis.
• Completing test documentation in accordance with prescribed methodologies, manuals and testing plans; escalating, and reporting findings to the CT management team.
• Utilizing innovative compliance testing solutions, including data analytics or End User Computing tools, to increase value and reduce costs of compliance-related activities.
• Developing effective relationships within CT function and with other stakeholders including ICRM partners, business and technology contacts, and Internal Audit.
• Promoting knowledge sharing and promulgation of best practices across ICRM and the business.
• Monitoring the risk environment, identifying new risks, and assessing emerging risks, with a focus on horizontal program elements.
• Informing CT management of significant compliance matters that require their attention or action, and recommending appropriate and pragmatic solutions to risk and control issues.
• Additional duties as assigned.

Qualifications:

• 3-5+ years of experience in compliance testing, audit, controls, or risk management functions at a large financial institution, or as financial regulatory examiner.
• Knowledge of financial institution compliance laws, rules, regulations, risks and typologies. Knowledge of regulatory landscape(s).
• Experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional testing, and reporting activities.
• Experience in planning, executing, and reporting on compliance testing reviews or regulatory issue validation activities.
• Knowledge of business processes and fundamentals, particularly in financial services.
• Track record of project management and intuitive thinking skills, with sound decision making, and critical analysis of complex processes and topics.
• Strong interpersonal skills for building relationships with team members, and stakeholders.
• Ability to work within a large and complex organization to find solutions.
• Excellent oral and written communication skills with the ability to convey clear, articulate ideas and concerns to multiple business functions, and at varying levels of the organization.
• Ability to apply regulatory knowledge to influence testing and monitoring activities.
• Must be a self-starter, flexible, innovative and adaptive
• Proficiency in MS Office applications (Excel, Word, PowerPoint)
• Preferable knowledge of financial markets and derivatives business and regulatory frameworks.
• Knowledge in area of focus

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