Senior Compliance Monitoring and Testing Analyst – Wealth – Audit

Senior Compliance Monitoring and Testing Analyst – Wealth – Audit

Requirements

• Significant controls testing/audit experience is required
• Work experience in the financial industry, experience with compliance and wealth-related businesses preferred
• Exceptional communication skills with the ability to draft superior quality analyses
• Ability to work independently, apply critical and strategic thinking to issues and make timely decisions
• Ability to read and interpret regulations as well as understand how the regulations may impact our business partners
• Strong problem solving skills and ability to recommend value-added solutions
• Strong relationship management skills and ability to work effectively within both enterprise and business level project groups
• Strong collaborative skills and experience partnering with business units
• Ability to manage multiple deadlines and priorities

Responsibilities

• Plan and execute compliance testing programs and communicate compliance testing results
• Identify and document regulatory compliance controls
• Prepare documentation in accordance with established policies and standards
• Budget and be responsible for tracking of work efforts versus budgets
• Develop and execute monitoring activities
• Provide knowledgeable recommendations to businesses for control improvements
• Ensure key regulations and key regulatory changes are captured in assigned testing programs
• Participate in business initiatives as assigned
• Proactively contribute to team processes and projects
• Seek process improvements and more efficient ways to deliver value to our businesses
• Lead testing engagements and review the work of other testers

Preferred Qualifications

• Accounting designation (i.e. CPA, CA) or Audit Designation (CIA)
• Audit or Compliance testing experience required
• CSC/CPH and other relevant industry courses preferred