Compliance Risk Testing Analyst – Assistant Vice President

Role Overview

• Lead process walkthroughs and design monitoring and testing activities for areas deemed to be of higher focus
• Perform an analysis of evidentiary data and draw conclusions as to the adequacy and effectiveness of business controls or whether a regulatory obligation has been breached
• Ensure that workpapers are thorough, well-organized, and support the work executed, including evidence of exceptions identified
• Draft reports that are appropriate for executive level consumption to clearly communicate results, risks, and key issues
• Maintain current knowledge of regulators’ focus areas, recent enforcement actions, and industry practices generally

Requirements

• Bachelor’s degree (or equivalent)
• Relevant work experience in a corporate testing or audit function within the financial services sector
• Related experience managing complex audit or testing operations, or related projects
• Experience with Asset Management and/or U.S. Core Banking Regulations is a plus
• CPA, CIA, CISA or other applicable certification preferred

Benefits

• Retirement savings plan (401K) with company match
• Insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages
• Paid-time off including vacation, sick leave, short term disability, and family care responsibilities
• Access to our Employee Assistance Program
• Incentive compensation including eligibility for annual performance-based awards
• Eligibility for certain tax advantaged savings plans