Compliance Oversight Specialist
3 days ago
As a Compliance Oversight Specialist at Buckingham Search, you will play a pivotal role in ensuring our clients' adherence to regulatory requirements. This position involves providing execution and oversight for programs that govern compliance with internal control environments. If you have a strong background in process management, excellent analytical skills, and the ability to communicate complex ideas effectively, we encourage you to apply.
About the Role:
This exciting opportunity requires someone with 7-10 years of experience in related fields, preferably within financial services. You will oversee the facilitation of the management self-testing program, including drafting test plans, launching campaigns, reviewing results, and reporting on program progress. Additionally, you will advance the management self-testing quality assurance program, facilitate attestation processes, and enhance compliance automated testing activities.
Responsibilities:
• Oversee the facilitation of the management self-testing program
• Advance the management self-testing quality assurance program
• Facilitate, review, and report on the company's attestation program
• Oversee compliance automated testing activities
• Design and perform tests of controls for design and operational effectiveness
• Perform secondary review of compliance review checklist related to findings remediation efforts
• Report on output of programs to stakeholders, senior management, and the board
• Develop tools and reports for Assurance and Monitoring
• Work with internal stakeholders to determine ways to leverage work and maximize efficiency across the organization
• Escalate issues to the Executive Director, Assurance and Monitoring, and the Chief Compliance Officer as needed
Qualifications:
• Strong background and knowledge in process management
• Excellent analytical skills with the ability to apply judgment to provide efficient and effective solutions
• Ability to prepare informative and concise reports depicting the current situation and historical trends
• Excellent written and oral communication skills
• Ability to adapt quickly to changing priorities, environment constraints, and project deadlines
• Ability to manage multiple efforts concurrently
Estimated Salary: $120,000 - $160,000 per year based on location and experience.
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