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Job

Senior Compliance Testing Officer

  • Location

    Texas and Arizona

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $80,000 - $100,000

  • Contact:

    Katherine Barnes

  • Contact email:

    k.barnes@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    4 months ago

  • Expiry date:

    2022-12-19

  • Startdate:

    ASAP

Hamlyn Williams is partnered with a top-tier bank looking to add additional headcount to their compliance team after a successful acquisition. The Senior Compliance Testing Officer performs a key second line of defense role to ensure line of business processes comply with applicable laws and regulations. The position supports overall compliance through execution of compliance control testing programs designed to evaluate the effectiveness of line of business practices in meeting respective regulatory compliance. 

Responsibilities:

  • Collaborate with the line of business management as well as the Compliance Department line of business point of contact to understand the impacted regulations, products and processes.
  • Conduct compliance testing in accordance with Compliance Management Program standards and regulatory requirements.
  • Obtain supporting documentation to conduct testing, develop testing scopes and scripts, validate findings, and analyze root cause.
  • Finalize testing results, identify opportunities for improvement in the design and effectiveness of compliance controls as appropriate, issue final reports and communicate results verbally and in writing to line of business management.

Qualifications:

  • Bachelor’s degree
  • 3+ years’ experience executing compliance assurance, regulatory control testing, risk, internal audit, or consulting on internal controls is required.
  • In-depth understanding of audit and compliance practices and methodologies, including risk assessment and internal control concepts.
  • SME of applicable federal, state banking laws and regulations with the ability to promptly research regulatory requirements.
  • CRCM preferred.

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