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Job

Senior Compliance Testing Officer

  • Location

    Texas, California, & Arizona

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    Competetive

  • Contact:

    Katherine Barnes

  • Contact email:

    k.barnes@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    11 days ago

  • Expiry date:

    2022-03-01

  • Startdate:

    ASAP

Hamlyn Williams is partnered with a top-tier bank looking to add additional headcount to their compliance team after a successful acquisition. This 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. The Senior Compliance Testing Officer will lead, coordinate, and execute independent control testing under the direction of the Compliance Testing Manager. This role is a hybrid opportunity and can sit out of their Dallas, Houston, Austin, Los Angeles, & CityScape AZ offices. 

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.
  • Perform multiple testing engagements concurrently from planning through reporting and produce quality, timely deliverables.
  • 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.

Qualifications:

 

  • Bachelor’s degree or equivalent in related compliance experience.
  • 3+ years’ experience executing compliance assurance, regulatory control testing, risk, internal audit.
  • Ability to implement processes across multiple LOB.
  • Build & maintain strong working relationships as well as obtain First Line of Defense engagement.
  • SME of federal, state banking laws and regulations with the ability to research regulatory requirements.
  • CRCM preferred.

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