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Audit and Compliance Tester

3 months ago

Tampa, Florida, United States Motion Recruitment Full time
Grow your career as an Audit and Compliance Tester with an innovative global bank. Contract role with strong possibility of extension. Will require working a hybrid schedule 2-3 days onsite per week.

Join one of the world's most renowned global banks and trusted brand with over 200 years of continuously evolving financial services worldwide. Will assist on Federal Reserve Board (FRB) and Office of the Comptroller of the Currency (OCC) consent orders initiatives, help execute the testing of the design and implementation of the go-forward state and sustainably embed solutions focused on the Business Units QC Program. You will work alongside some of the smartest minds in the industry who are excited to share their knowledge and to learn from you.

Contract Duration: 12+ Months
Required Skills & Experience
  • Bachelor's degree in Business, Human Resources or other related field.
  • 5 to 10+ years of experience including Risk and Controls, Risk Management, Audit, and/or Regulatory transformation experience in design and execution.
  • Financial services industry experience.
  • Midsize or large bank experience.
  • Specific Compliance Testing/IA testing in either BAU and Consent Order experience.
  • Background in Audit testing for MCA.
  • Experience in compliance and quality control.
  • Able to conduct risk and control assessments.
  • Able to formulate strategies for control testing.
  • Strong familiarity with overall Risk Control Assessment programs and understanding of HR Risk policies, procedures, and standards.
  • Experience with Risk & Control and the ability to leverage that experience to execute the testing for assigned CO milestones and provide credible challenge to the business units.
  • Experience in developing a control testing strategy for design and/or control effectiveness as applicable.
  • Experience in identifying risks and controls in a process, but more importantly provide feedback to the business units on assessing risks and controls so they are clear and complete.
  • Project management and project delivery experience with a strong focus on execution.
  • General understanding of relevant banking regulation and supervisory expectations for large and complex financial institutions.
  • Demonstrated ability to negotiate internally with diverse stakeholders and drive accountability and ownership with key business partners and process owners.
  • Strong relationship management skills with ability to deepen relationships and build partnerships across the HR Businesses and key support areas like Audit, Compliance, Control, Independent Risk, and Legal to ensure franchise and other key risks and needs are considered.
  • Proven ability to question and identify opportunities within existing processes and business practices by leveraging previous experiences and knowledge of the HR Businesses.
  • Strong PowerPoint skills for executive level presentation creation and documentation.
    What You Will Be Doing
    • Utilize a high-touch approach to partnering with HR stakeholders on the execution of the QC program under the Consent Order-related deliverables.
    • Perform and deliver risk assessment results, including business metrics that provide line of sight to business control performance.
    • Develop and execute a QC testing strategy for the assigned milestones as related to the assessment of control design and operating effectiveness.
    • Analyze controls identified by the responsible business units for compliance with the company's Control Standards.
    • Review applicable artifacts provided by the business units to ensure they support the milestone deliverables.
    • Confirm key controls are supported by HR desktop procedures and/or process flows which contain sufficient details for the consistent performance of recurring activities by relevant parties.
    • Guide HR stakeholders accordingly so they can address or document appropriate rationale for any gaps identified in control evidence.
    • Provide credible challenge to the business units on the remediation efforts to ensure compliance with the CO commitments.
    • Ensure the closure documents for each milestone are executed with the necessary detail accuracy and completeness.
    • Provide summary reporting on observations and concerns to be addressed by the milestone owner and validate all issues has been addressed prior to the milestone closure.
    • Partner with teams to identify and mitigate cross function risks.
    • Possess subject matter expertise to focus on a standardized approach across the inventory.
    • Work with the business units to strengthen their control environment.
    • Responsible for driving consistency in the application of taxonomy, alignment with regulations and policies, and accuracy of risk description.