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Key Responsibilities:
Design, implement, and manage a comprehensive control testing program to evaluate the effectiveness of compliance controls across various compliance functions (e.g., anti-money laundering, consumer protection, data privacy, etc.).
Develop detailed testing plans, including scope, objectives, methodologies, and timelines, to assess the adequacy of controls in meeting regulatory and internal standards.
Conduct independent testing of controls, including sample selection, data analysis, and documentation of findings, ensuring consistency and accuracy.
Identify gaps, weaknesses, or deficiencies in compliance controls and provide actionable recommendations to strengthen processes and mitigate risks.
Prepare and present clear, concise reports on testing results, including observations, exceptions, and remediation plans, to senior management and relevant stakeholders.
Partner with compliance, risk, audit, and business unit teams to ensure alignment on control objectives and facilitate remediation efforts.
Issue Tracking: Monitor and follow up on identified issues to ensure timely resolution and validate remediation efforts through re-testing.
Qualifications:
Bachelor’s degree in Finance, Business Administration, Accounting, or a related field. Advanced degree or certifications (e.g., CRCM, CAMS) preferred.
Minimum of 7 years of experience in compliance, risk management, internal audit, or control testing within a banking, financial services or fintech environment.
Proficiency in control testing methodologies, risk assessment frameworks, and data analysis tools (e.g., Excel, SQL, or similar).
Strong understanding of financial regulations (e.g., BSA/AML, Reg E, GDPR) and familiarity with regulatory expectations for control testing.
Ability to analyze complex processes, identify control gaps, and develop practical solutions.
Excellent verbal and written communication skills, with the ability to present findings to senior leadership and regulators if needed.
Proven ability to manage projects, lead teams, and collaborate across departments in a fast-paced environment.
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