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Compliance Monitoring and Testing QA Consultant

4 months ago

Manhattan, United States Michael Page Full time

About Our Client

Our client is foreign investment bank located in New York, NY. They offer a wide range of financial services to both individual and corporate clients, including: Corporate Banking, Retail Banking, International Trade Services, Foreign Exchange Services, and Investment Banking.

Job Description

The Compliance Monitoring and Testing QA Consultant will be responsible for:



Lead and /or perform compliance testing, identify issues and make recommendations and report the result

Identify potential compliance and risks and recommend resolutions and/or escalate to appropriate individuals to determine if further investigate is deemed necessary

Develop test scripts corresponding to scope of the testing engagement and business expectations

Assess the design and effectiveness of controls implemented to mitigate the applicable BSA/AML/Sanctions and compliance risks

Collaborate with business lines to develop remediation plans to resolve control weaknesses identified through testing

Track and validate the implementation of remedial actions submitted by the business owners to verify that issues identified during testing are remediated

Follow up with business owners as necessary

Prepare reports for Management that highlights the scope, testing approaches, the results and compliance testing activities

Review processes and recommend areas of improvements

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

The Compliance Monitoring and Testing QA Consultant should have the following background:



Bachelor's Degree is required, JD, MBA or Master's Degree is preferred

10 years of work experience in Compliance Testing, Audit or equivalent area within financial services industry

Knowledge of U.S. Banking regulations and compliance practices, compliance testing and/or auditing processes and practices

Ability to lead compliance testing review and supervise other testers

CAMS Certificate is preferred but not required

What's on Offer

The Compliance Monitoring and Testing QA Consultant will be paid on an hourly rate for a duration of 6-12 months. THIS ROLE REQUIRES BEING ON SITE 4 to 5 DAYS PER WEEK You must be able to commute to New York, NY