Perform a key second line of defense role to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations.
Execute defined, moderately complex, risk-based compliance transaction testing under leadership.
Collaborate with Compliance professionals to provide independent testing.
Manage assigned testing timelines to ensure completion of tasks and reporting.
Obtain and analyze test data from multiple sources.
Help drive innovative ways to approach testing.
Establish and maintain relationships with Compliance Advisors and the Risk Office.
Review deliverables executed by peers for accuracy and adherence to procedures.
Communicate results to Advisors, Business Areas, and Compliance Officers as needed.

High School Diploma, GED or equivalent certification
At least 4 years of experience working in the financial services industry
At least 2 years of experience in audit, compliance, risk management, control or transaction reviews
At least 2 years of experience with Microsoft Office or Google Suite
Bachelor's Degree or Military experience (preferred)
3+ years of financial services monitoring, auditing, risk management or compliance experience (preferred)
Certified Regulatory Compliance Manager (CRCM) accreditation (preferred)
Experience analyzing test scripts using SQL/Python to test full populations for key attributes (preferred)
Experience engaging with data analytics to help drive innovative testing approaches (preferred)
Knowledge of data analytics, Optical Character Reader, Robotic Process Automation or Artificial Intelligence (preferred)
Basic understanding of data schemas or cloud data structure to help drive innovative testing approaches (preferred)

Compliance Tester II

Key skills