Wealth Management Compliance Testing Tester

5+ years of Financial Services Industry Experience
Proficient in Microsoft Office (Excel, PowerPoint, Word)
Analytical and research skills
Ability to interact with diverse teams
Ability to work and make independent decisions associated with Compliance testing protocols
Excellent oral and written communication skills
Time management and organizational skills
Enthusiastic, self-motivated individual

Assisting in the preparation of test planning memoranda
Identifying and evaluating key risks and contribute to establishing test scope
Leading walkthrough meetings and discussions with the purpose of developing test scope and identifying control issues
Developing and executing audits in line with global monitoring and testing standards
Maintaining detailed and organized documentation of work product
Appropriately assessing potential findings for significance and root cause
Drafting test reports; writing clear and concise findings
Communicating test findings to WM Testing management and clients; assist with negotiating and finalization of findings and corrective action plans with senior client management
Tracking implementation of recommended corrective action plans designed to strengthen internal controls to completion
Performing validation testing of new or updated controls
Developing and maintaining strong working relationships with Business, Compliance, Legal and Risk groups