Compliance and Operations Risk Test Specialist (Technology Risk and Controls)

As a Compliance and Operations Risk Test Specialist in the Testing Center of Excellence, you will play a pivotal role in enhancing our compliance and operational risk management. Your expertise in executing tests with precision and accountability will ensure the seamless delivery of quality outcomes. You will be responsible for assessing the control environment, identifying gaps, and driving remediation efforts to mitigate risk. Your analytical thinking and problem-solving skills will be crucial in breaking down complex business objectives into manageable tasks and activities. By collaborating effectively with cross-functional teams and stakeholders, you will contribute to the firm's business objectives and help us maintain our commitment to excellence.

Job summary:

As a Compliance and Operations Risk Test Specialist within the Testing Center of Excellence, you execute testing with precision and accountability to support quality outcomes. You assess the control environment to identify gaps, validate control design and implementation, and determine control effectiveness. You perform technology risk and control assessments, including information technology automated controls and application control testing. You collaborate with business and technology stakeholders to gather control requirements, facilitate issue discussions, and communicate testing outcomes. You contribute to continuous improvement by proposing enhancements to testing methods and performing quality control reviews of testing working papers.

Job responsibilities:

• Execute testing processes with precision and accountability, ensuring all activities are completed accurately and on time.
• Assess the control environment to identify gaps, verify controls are properly designed and implemented, and determine control effectiveness.
• Utilize analytical thinking to systematically organize, compare, and evaluate various aspects of a situation and environment to comprehend and identify key or underlying information.
• Collaborate with cross-functional teams and stakeholders to align testing efforts and ensure effective communication of testing outcomes.
• Propose and implement improvements to current testing methods, contributing to the overall efficiency and effectiveness of the firm's risk management.
• Perform information technology automated controls assessments.
• Perform technology risk assessments and control assessments.
• Support application control testing, including conducting initial interviews regarding standard control usage for applications in scope, assisting with the identification and testing of shared controls, and testing evidence submitted to validate control effectiveness.
• Work with business and technology teams to walk through controls, gather control design requirements and performance requirements, and facilitate discussions on identified issues.
• Communicate issues, findings, and best practices with the team and manager.
• Perform quality control reviews of control testing working papers.

Required qualifications, capabilities, and skills:

• Qualified graduate with minimum of 2 years of experience or equivalent expertise in executing and managing information technology automated controls assessments.
• Hands-on experience performing information technology general controls, technology risk assessments, and control assessments.
• In-depth understanding of Sarbanes-Oxley Act Section 404 (SOX 404) regulatory requirement.
• Proven ability to assess control environments, identify gaps, and drive remediation efforts to mitigate risk.
• Demonstrated proficiency in analytical thinking, with experience in organizing, comparing, and evaluating various aspects of a situation to identify key information.
• Experience proposing and implementing improvements to testing methods, contributing to the efficiency and effectiveness of risk management processes.
• Proven track record of effective collaboration with cross-functional teams and stakeholders, with a focus on aligning testing efforts and communicating outcomes.