Compliance Testing Manager

SUMMARY

The Compliance Testing Manager leads the Compliance Testing team in executing the Bank’s Compliance Testing Program. This role ensures testing activities are aligned with regulatory requirements, internal policies, and procedures, and effectively communicates findings to stakeholders. The team conducts independent transaction and control reviews to ensure design effectiveness and compliance. The manager oversees test plan development, team performance, and collaborates with business units to resolve compliance issues.  

MAJOR DUTIES AND RESPONSIBILITIES (ESSENTIAL FUNCTIONS)

• Lead the execution of the annual compliance testing plan which prioritizes and identifies regulations and areas of the Bank to be tested by evaluating compliance risk assessments to determine appropriate scope and methods for testing.
• Demonstrate an understanding of business processes, control frameworks, and related regulatory compliance standards.
• Provide thought leadership and guidance to team members in the design, strategy, and execution of compliance tests to mentor and support professional development.
• Review and approve kick-off decks, testing workpapers and reports to ensure accuracy, completeness, and consistency.
• Facilitate kick-off and exit meeting with business units and process owners.
• Coordinate with Enterprise Compliance contacts and internal stakeholders to address testing findings and remediation efforts.
• Monitor regulatory changes and assess their impact on the testing program.
• Validate closure of prior compliance findings and ensure sustainable remediation.
• Prepare reports appropriate to a senior management audience and/or Enterprise Committee on testing status, outcomes, trends and risk areas.
• Develop and enhance local testing processes by leveraging industry leading practices and regulatory expectations to drive improvements in testing processes.
• Advise on compliance training needs based on testing results and emerging risks.

ADDITIONAL DUTIES AND RESPONSIBILITIES

• Completes all required compliance training on an annual basis.
• Adherence to all First United Policies and Procedures.
• Promote a culture of compliance and continuous improvement.
• Other duties as assigned by Supervisor.

EMPLOYEE SPECIFICATIONS

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Education and Work Experience

• Bachelor’s degree or equivalent job-related experience.
• Minimum 5 years of compliance-related experience, including 2+ years in a manager or supervisory compliance testing role.
• Scripting experience and ability to understand test scripts for full population testing for key attributes. Usage of AI preferred.
• CRCM certification preferred.

Technical/Functional Competencies

• Strong leadership and team management skills.
• Deep understanding of regulatory requirements in financial services.
• Experience in preparing and writing business documents (i.e., presentations for leadership meetings, memos, and reports)
• Exceptional communication and interpersonal skills, including the ability to articulate complex information clearly and concisely in written, verbal and in presentation.
• Effective and efficient time management skills. (measured by deadlines and quality of progress and tests completed).
• Proficiency in Microsoft Word, Excel, PowerPoint and SmartSheet creation and management.
• Demonstrated judgement, initiative and accountability.
• Strong analytical and organizational skills.
• Candidate should be both self-motivated, and a team player.
• Willingness to accept additional responsibilities.
• Dependable and adheres to timelines, schedules, and can prioritize tasks.
• Experience with GRC, Resolver a plus.

NOTE: This job description is not intended to be all-inclusive. Employee may perform other related duties as assigned by supervisor to meet the ongoing needs of the organization.

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