Compliance Testing Manager

3 weeks ago

Minneapolis, Minnesota, United States Royal Bank of Canada Full time
Job Summary

We are seeking a highly skilled Compliance Testing Manager to join our team at Royal Bank of Canada. As a key member of our Compliance function, you will be responsible for managing the completion of testing reviews for our U.S. Compliance Testing Program.

Key Responsibilities
  • Manage testers during the execution of the annual Compliance Test Plan, resulting in detailed written reports documenting findings.
  • Drive quality and consistency across Compliance Testing function.
  • Coordinate testing schedules with internal stakeholders, including Internal Audit and others, where appropriate.
  • Evaluate and escalate high-risk issues found to senior management.
  • Oversee issue validation process ensuring that corrective action has been taken and issues satisfactorily remediated.
  • Assist with the reporting of Test Plan governance metrics, including progress to plan reporting and change management.
  • Identify opportunities and lead initiatives for the enhancement of the Program.
  • Participate in the annual test plan development process by reviewing and challenging risk assessment results and providing insights gained through testing and understanding of external and internal environments.
  • Provide training as needed to upskill testers, including both formal and informal (on-the-job) training.
  • Participate in the annual performance evaluation process by sharing feedback on tester performance, opportunities for improvement.
Requirements
  • 5-7 years' experience in the financial services industry in Compliance testing, branch inspection, Internal Audit or at a financial institutions regulator.
  • Experience as Compliance Manager.
  • Deep knowledge of compliance testing methodologies and/or audit experience.
  • Knowledge of FINRA, SEC, MSRB, FRBNY, CFPB and OCC rules and regulations.
  • Experience with operating in a highly matrixed environment.
  • Excellent communication and presentations skills.
  • Excellent organizational skills.
  • Excellent collaboration and team-building skills.
What We Offer

We offer a comprehensive Total Rewards Program including competitive compensation, bonuses, and flexible benefits. You will have the opportunity to work with a dynamic, collaborative, progressive, and high-performing team, as well as world-class tools and training. Our compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that drives our high-performance culture, enables collective achievement of our strategic goals, and generates sustainable shareholder returns and above-market shareholder value.

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