Compliance Tester III
About The Position
The Corporate Compliance team is seeking an experienced Principal Associate who will be responsible for executing risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating business line adherence to complaints handling procedures and requirements of the Enterprise Complaints Standard. A successful candidate will enjoy developing a deep understanding of complaints requirements and conducting monitoring/testing and drawing conclusions based on critical thinking, judgment and analysis to validate adherence. The role requires the ability to work cross-functionally with business partners, compliance advisors, risk managers and independently navigate through complex and ambiguous test determinations. The perfect candidate will have a passion for risk and compliance, testing, project work, quality assurance and has the ability to effectively challenge the businesses. In addition, this role requires great attention to detail and excellent verbal and written communication skills.
Requirements
- High School Diploma, GED or equivalent certification
- At least 3 years of experience in compliance, testing, or quality assurance
Nice To Haves
- Bachelor's Degree
- 4+ years of financial services consumer compliance monitoring experience
- 4+ years of consumer compliance auditing experience
- 4+ years of quality assurance experience
- Experience creating presentations
- Working knowledge of basic statistics
Responsibilities
- Under the leadership of a team leader, executing targeted transaction testing for consumer compliance requirements
- Managing testing schedules to ensure all tasks and reporting are completed within established timeframes
- Analyzing data from multiple sources and systematically documenting the work and results
- Develop new ways to test large populations of data
- Reviewing transaction tests executed by peers for accuracy and adherence to test procedures
- Establishing and maintaining strong relationships with Compliance Advisors and Business Areas as needed
- Demonstrate ability to explore and quickly grasp new technologies to progress varied initiatives
- Assisting in communicating results to Compliance Officers, as needed
Benefits
- comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being
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What This Job Offers
Job Type
Full-time
Career Level
Principal
Education Level
High school or GED
