Compliance Tester III
Core
Execute risk-based compliance transaction testing and control reviews to validate business line adherence to laws, regulations, and guidance.
Role type
Senior IC compliance tester (second line of defense)
Builds
Independent validation of regulatory adherence and control activities
Domain
Financial services / Regulatory compliance
Required skills
Risk-based testing, control review, data analysis, test planning, documentation, stakeholder communication
Preferred skills
Financial services consumer compliance, SQL, Teradata, Redshift, Python, Perl, JavaScript, Shell scripting, presentation creation
Responsibilities
Execute targeted complex transaction testing for regulatory compliance, perform control reviews under CCR methodology, manage testing schedules, analyze test data from multiple sources, develop new ways to test large data populations, review peer transaction tests, partner with business and IT to improve data sources, retain documents substantiating results, communicate results to Compliance Officers.
Seniority
Senior, hands-on IC