Head of Compliance
Solutus Legal Search
Cyber Security
Senior Compliance Testing Officer
RBC
full-time
Posted on:
Location Type: Hybrid
Location: Los Angeles • California, Minnesota, New Jersey • 🇺🇸 United States
Visit company websiteSalary
💰 $65,000 - $135,000 per year
Job Level
Senior
About the role
- Conduct testing across the CUSO/IHC, inclusive of transactional testing as well as controls to determine adherence to compliance requirements
- Perform research on regulatory requirements to ensure understanding of subject under review
- Support overall review by completing testing assignments on time and adhering to departmental procedures and templates
- Document testing outcomes, including high quality workpapers and documentation that support conclusions of testing
- Provide regular status updates pertaining to progress against assignments
- Communicate findings to Sr. Tester or Line of Business Partners
- Contribute to issue identification and overall review conclusions
- Responsible for escalating challenges with testing as well as the identification of higher risk issues
- Provides ideas for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Partners, and industry research
Requirements
- 1-4 years’ experience in the financial services industry in Compliance Testing, Controls Testing, Quality Assurance, Branch Inspection, Internal Audit or at a financial institutions regulatory agency
- Knowledge of compliance testing methodologies and/or audit experience
- Knowledge of FINRA, SEC, MSRB, FRBNY, CFPB and/or OCC rules and regulations
Benefits
- A comprehensive Total Rewards Program including bonuses and flexible benefits
- Competitive compensation
- Commissions and stock where applicable
- 401(k) program with company-matching contributions
- Health, dental, vision, life and disability insurance
- Paid time-off plan
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance testingcontrols testingquality assuranceinternal auditregulatory researchdocumentationtesting methodologiesworkpapers
Soft skills
communicationproblem-solvingtime managementcollaborationissue identification
