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 compliance and risk management
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
risk-based testing, control review methodology, data analysis, test planning, documentation, stakeholder communication
Preferred skills
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 test results, communicate results to Compliance Officers and stakeholders
Seniority
Senior, hands-on IC
