43949- Lead Compliance Tester

Riverwoods, IL 60015

Posted: 01/23/2023 Industry: Other Job Number: 39446

Job Description


Lead Compliance Tester

#43949

Location: REMOTE    
Duration: 3 MONTHS CONTRACT TO HIRE 

Responsibilities:
  • Demonstrates general knowledge of the laws and regulations governing 1st line, 2nd line risk management and procurement policies, to identify key risk and controls of the business line in order to evaluate compliance with regulatory requirements
  • Manages activities of the Compliance Testing staff (direct/indirect) and is responsible for the overall integrity and quality of the work product.
  • Creates and maintains testing work papers and supporting documentation.
  • Writes findings regarding compliance testing results.
  • Collaborates with various levels of management within the areas of responsibilities, including the risk functions within the First Line of Defense.
  • Evaluates and tests the adequacy of transactions and business processes with respect to risks, controls, and regulatory requirement identifying gaps and issues.
  • Monitors and validates the status of corrective actions taken by business partners to remediate concerns. Creates and maintains testing work papers and supporting documentation.
  • Writes findings regarding compliance testing results.
  • Maintains a high level of awareness and knowledge of regulatory compliance requirements.
  • Supports Compliance Management in developing, implementing, and maintaining an enterprise-wide Compliance Program and a culture of compliance.
 
Requirements:
  • Bachelor's Degree in Business, Finance, or Legal and 4+ years of experience in consumer compliance, financial services, risk and/or internal audit
  • In Lieu of Education, 8+ years' experience in compliance, financial services, risk including consumer compliance testing, quality assurance, regulatory examination or audit

 

Job Requirements

Compliance testing

Meet Your Recruiter

Alaina Fisher

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