Compliance Testing Advisor - Institutional Services and Wealth Management (ISWM) - Hybrid (see potential locations in job description)
Core
Manage, lead, and execute risk-based compliance testing engagements to ensure the bank's adherence to laws, rules, and regulations across Wealth Management and Institutional Services.
Role type
Senior IC compliance testing advisor
Builds
Compliance testing engagements and risk assessments for regulatory examinations
Domain
Financial services / Regulatory compliance
Required skills
Risk-based testing methodology, regulatory requirements knowledge, test script development, stakeholder engagement, team coaching, internal control standards, data management systems (Archer), financial services functions
Preferred skills
Institutional Services and Wealth Management compliance experience, building compliance/audit test scripts, related certifications (CPA, CIA, CISA, CAMS, CRCM), MBA or master's degree
Technologies
Archer, spreadsheet software, presentation software, word processing software
Responsibilities
Interface with all organizational layers to obtain process and control information; oversee planning and execution of multiple simultaneous testing engagements; draft and communicate substantive testing findings and control weaknesses; review work papers of team members and provide feedback; maintain comprehensive knowledge of regulatory requirements; participate in special projects and department-wide initiatives; ensure timely implementation of internal and external audit points.
Seniority
Senior, hands-on IC with leadership responsibilities
