AVP Compliance Testing Officer
Consultant Christian Lewis
Date posted February 19, 20192019-02-19 2019-04-09 financial-services permanent US New York New York 10022 USD 120000 130000 130000 YEAR Robert Walters https://www.robertwalters-usa.com https://www.robertwalters-usa.com/content/dam/robert-walters/global/images/logos/web-logos/logo.gif
A leading global bank is in search for a compliance testing officer to lead internal exams, regulatory requirments, policie and procedures, and control processess.
Assist with the execution branch exams, and take ownership for building, updating and executing Branch inspection programs (FINRA and NFA) and testing scripts in accordance with regulatory and internal requirements, policies, procedures and control processes
Conduct on and offsite exams, interview with senior management, control and compliance functions, review business's policies, procedures and control processes, evaluate risk framework and operating effectiveness at the local level
Identify root causes and map issues with the Firm's risk taxonomy and Business Level's control framework risk categories.
Maintain active dialogues with stakeholders, proactively work with issue owners and stakeholders through the testing cycle, complete work paper and testing reports in accordance with the Compliance Testing Department's Global QA Standard
Review and provide input into expanding the BSA/AML, bank, markets/broker-dealer testing program; responsible for updated compliance testing program document, testing desktop procedure, testing scripts, testing QA checklist, create testing papers for individual reviews