Compliance and Ops Risk Test Lead - Senior Associate

Join our dynamic testing team within Asset Wealth Management and make a pivotal impact on our firm’s robust risk strategy.

As a Compliance and Operations Risk Test Lead in the Testing Center of Excellence, you will play a pivotal role in enhancing our compliance and operational risk management. Your expertise in test execution will be crucial in managing and conducting precise and accountable tests, ensuring alignment with the firm's highest risks. Your analytical thinking and problem-solving skills will be key in identifying control coverage gaps and driving remediation of control issues. You will also be responsible for planning and organizing your own work, and potentially that of a team, while liaising and coordinating activities across various departments. Your role will be integral in ensuring a cohesive and efficient testing framework, contributing to the seamless delivery of quality outcomes.

Job responsibilities

• Plan and design testing, by developing the testing approach/methodology and determining sample selections.
• Execute testing with rigor and timeliness, by conducting comprehensive testing activities accurately, on time, and aligned to the firm’s standards.
• Analyze results and identify gaps/weaknesses, by using advanced analytical thinking to
• Collaborate and communicate during reviews by partnering with business cross-functional teams to align testing efforts and maintain open communication to ensure effective execution.
• Report and present outcomes, by writing clear test reports documenting testing objectives, methodology, processes, and results for senior management, stakeholders, business control officers, and relevant Compliance functions.

• evaluate the adequacy and effectiveness of existing policies, procedures, processes, and controls, including the identification of potential or actual weaknesses.

Required qualifications, capabilities, and skills

• Minimum 3 years of experience of relevant compliance testing, regulatory examination, or internal audit experience
• Knowledge of laws and regulations that apply to Investment Banks, Registered Investment Advisors, and broker-dealers.
• Proven ability to perform assessments of control environments, identifying control coverage gaps and verifying the proper design and implementation of controls.
• Experienced business writer with proven ability to write test related documents and ensure clear and concise descriptions of reviews and conclusions.
• Strong analytical and investigative skills.
• Ability to work independently and collaboratively in a team environment.
• Ability to manage multiple projects simultaneously with minimal supervision.
• Strong interpersonal and organizational skills.
• Ability to interact with all levels of personnel (e.g. MD to Associate).