Key skills
Project ManagementCommunicationTime Management
About this role
Role Overview
- Execute independent testing and validations as part of the second line of defense to assess regulatory compliance
- Perform issue validations as part of a larger testing and validation team
- Independently research, review, and maintain expertise on banking regulations and laws
- Act as a subject matter expert for regulations applicable to business partners
- Summarize and analyze results of testing to identify areas of improvement
- Assist management in writing findings and presenting these findings to stakeholders
Requirements
- Undergraduate degree or equivalent work experience
- 5+ years of experience
- Prior testing, audit or business operations experience in areas involving regulatory compliance
- Detail oriented and well-developed organizational, time management and project management skills
- Strong verbal and written communication skills
- Ability to manage multiple tasks and competing priorities
- Proficiency with Microsoft Office applications
- FINRA Series 7, 63 and 24 preferred.
Benefits
- Health insurance
- 401(k) matching
- Paid time off
- Professional development opportunities