Job Summary: 

• Track and retest closed/resolved findings to validate the effectiveness of the corrective action taken by the line of business.
• Ensure the compliance testing system is updated timely to reflect the current status of compliance testing and issues for management reporting purposes.
• Maintain organized and complete final compliance testing documentation records following the established compliance testing standards, procedures, and protocols to support the steps taken during compliance testing.
• Build effective relationships with colleagues to enable partnership and collaboration for control-related matters.
• Recommend opportunities to update the compliance testing plan based on observations during the execution of test work.
• Identify opportunities to enhance operational efficiency and effectiveness both for operational processes being reviewed and the Compliance Testing Program.
• Take ownership of projects and other work assignments to ensure they are carried out correctly and on time.
• Complies with all federal and state laws and regulations.
• Assist with periodic HMDA and CRA LAR data collection reviews
• Assist with other compliance-related projects and tasks

Skills on Resume: 

• Compliance Testing And Validation (Hard Skills)
• Compliance System Updates (Hard Skills)
• Documentation And Record-Keeping (Hard Skills)
• Relationship Building And Collaboration (Soft Skills)
• Compliance Testing Plan Updates (Hard Skills)
• Operational Efficiency And Effectiveness (Hard Skills)
• Project Ownership And Management (Soft Skills)
• Regulatory Compliance (Hard Skills)

Job Summary: 

• Execute compliance testing with moderate supervision including assessing key risks and evaluating associated control design and effectiveness.
• Assess and develop the scope of compliance testing employing a risk-based approach to ensure adequate testing coverage of key risks and controls.
• Draft scoping documents and create workpapers that include applicable regulatory requirements and adherence to established compliance testing standards, procedures, and protocols.
• Lead or participate in related meetings and complete all required documentation that supports the work performed following compliance testing standards, procedures, and protocols.
• Document fieldwork completed in a manner that is repeatable and auditable.
• Communicate test results to Compliance and line of Business management both orally and through written compliance testing reports.
• Identify the root cause for violation of federal law or regulation, and internal policy, procedures, or other control deficiencies.
• Recommend rating for identified issues based on the work performed taking into account the risk presented to the Bank.
• Present suggestions for process improvements, and corrective actions, and evaluate the timeliness and proposed remedial actions by Business management.
• Draft findings, observations, and final reports that adequately support conclusions and require minimal editing.

Skills on Resume: 

• Compliance Testing Execution (Hard Skills)
• Risk-Based Testing Scope Development (Hard Skills)
• Scoping Document And Workpaper Drafting (Hard Skills)
• Meeting Leadership And Participation (Soft Skills)
• Fieldwork Documentation (Hard Skills)
• Test Result Communication (Soft Skills)
• Root Cause Identification (Hard Skills)
• Process Improvement Recommendation (Hard Skills)

Job Summary: 

• Testing and operating key business 1st Line of Defence controls
• Innovating test strategies, to ensure the execution of reviews are in line with the Compliance Executive Committee-approved annual plan
• Publishing reports, and raising any issues identified in line with the methodology
• Sharing best practices within the EMEA Compliance Testing team
• Engaging with Business Line Compliance to ensure effective scoping of reviews
• Liaising with the Business and 1st Line of Defence on the progress of mitigation plans
• Keeping up to date with all EU regulations related to Compliance Testing and Monitoring
• Reporting directly to the EMEA Director based in Amsterdam 
• Conduct compliance testing following Compliance Management Program standards and regulatory requirements.
• Collaborate with the line of business management as well as the Compliance Department line of business point of contact to understand the impacted regulations, products and processes.

Skills on Resume: 

• 1st Line Of Defence Controls (Hard Skills)
• Test Strategy Innovation (Hard Skills)
• Report Publishing And Issue Raising (Hard Skills)
• Best Practices Sharing (Soft Skills)
• Effective Review Scoping (Soft Skills)
• Mitigation Plan Progress Liaison (Soft Skills)
• EU Compliance Regulations Knowledge (Hard Skills)
• Direct Reporting To EMEA Director (Soft Skills)