Control testing, Immediate joiner only, 3+ years

Role & responsibilities

Lead planning, development, and execution of appropriate documentation to support control testing activities

Review and challenge individual Risk and Control Self Assessments (RCSAs) Ability to learn and understand a variety of processes and regulations as they pertain to internal controls and regulatory requirements

Identify potential risks and/or control gaps, control enhancement opportunities, in current processes, by utilizing available information such as business overviews, process maps, procedures, and reviewing/testing controls

Ensure that key risk and controls are identified and assess control designs (walkthrough) Develop meaningful test steps (scripts) and perform testing to validate and determine whether controls are operating effectively

Communicate test results, and next steps concisely and effectively across the organization

Provide recommendation and work as a trusted partner with line of business to propose an appropriate remedial action plans to enhance existing processes

Ensure with documentation standards

Support other risk management roles (e.g., enterprise risk, operational risk) and/or committees, policy, and governance framework

Additional duties as assigned

Qualifications

Bachelors degree (preferred in finance, accounting or business) required, relevant graduate degree a plus

3+ years of relevant direct or related (industry regulator) work experience within the financial services industry in the risk management space, preferably within the context of: compliance risk, internal audit, or control testing

Specific knowledge of or experience with Risk and Control Self-Assessments (RCSA)Knowledge of or experience with regulatory requirements pertaining to financial services, specifically to investment banking, required.

Experience with and knowledge of the following regulations required (but not limited to): Securities Act, Securities and Exchange Act, Investment Company Act, Investment Advisors Act, FINRA rules and regulations, UDAAP, ECOA, FHA, TILA, and BSA/AML/OFAC

Certification or experience in audit, risk, or compliance (with a financial institution) preferred

Excellent analytical and problem-solving skills required

Results-oriented working in a team-focused, collaborative environment

Demonstrated ability to communicate effectively, both verbally and in writing, along with good presentation and report-writing skills

Ability to work independently, understand and draw conclusions from research conducted and coordinate with the work of others

Effectively respond to shifting priorities, demands, and timelines through analytical and problem-solving capabilities

Organizational skills and attention to detail to handle diverse and concurrent assignments

Microsoft application knowledge as well as aptitude for grasping and using various bank software applications (i.e., Excel skills including pivot tables, v-lookups, etc.)