Senior Compliance Testing Officer
RBC
full-time
Posted on:
Location Type: Office
Location: Jersey City • California • Minnesota • United States
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Salary
💰 $77,000 - $145,000 per year
Job Level
About the role
- The Sr. Compliance Tester leads and conducts independent compliance reviews for the U.S. Compliance Testing Program
- Develop a sound approach to testing
- Execute testing and oversee the work of other testers
- Produce quality final testing reports and work-papers that thoroughly document testing conducted and corresponding conclusions
- Support issue validation as well as other initiatives aimed at enhancing the overall Compliance Testing Program
- Conduct testing across the CUSO/IHC, inclusive of the testing of controls and adherence to regulatory requirements
- Perform research on regulatory requirements and business controls to determine optimal approach to testing while employing a risk-based approach
- Lead reviews and guide other testers, assist other team members with completing reviews or portions of testing
- Document conclusions of testing, including detailed workpapers as well as written reports documenting conclusions and findings
- Assist with reporting the status of reviews in support of Test Plan Governance, including progress to plan reporting and change management
- Provide ideas for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Partners, and industry research
- Assess issues and advise on ratings, root causes, including escalation of potential high-risk issues to senior management
Requirements
- Must have 5+ years’ experience in the financial services industry specifically in Compliance testing, Internal Audit or at a financial institutions regulator
- Proficiency in compliance testing methodologies and/or audit experience
- Proficiency in applicable FINRA, SEC, MSRB, FRBNY, CFPB and OCC rules and regulations in the area of coverage
- Experience with operating in a highly matrixed environment with excellent communication and presentations skills
- Excellent organizational, collaboration and team-building skills
- Nice-to-have: Familiarity with Capital Markets, Broker-Dealer and Volcker regulations
- Strategic thinker with excellent interpersonal skills to work across functions and businesses
Benefits
- A comprehensive Total Rewards Program including bonuses and flexible benefits
- Competitive compensation
- Commissions
- Stock where applicable
- 401(k) program with company-matching contributions
- Health, dental, vision, life and disability insurance
- Paid time-off plan
- World-class training program in financial services
- Flexible work/life balance options
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance testing methodologiesinternal auditregulatory requirements researchrisk-based approachtesting controlsquality reportingissue validationdocumentation of findingschange managementFINRA regulations
Soft skills
communication skillsorganizational skillscollaboration skillsteam-building skillsstrategic thinkinginterpersonal skillsleadershipguidanceproblem-solvingpresentation skills