Consultant, Compliance Risk Management, Compliance Testing
About The Position
The Consultant will work in CLS’s Compliance Risk Management department, conducting and delivering Compliance Testing reviews against the plan with minimal Director oversight. The role also supports reporting on the Compliance Testing Plan and results, corrective-action tracking and validation, and development of a cross-department monitoring inventory and standards. It applies practical, proportionate, and sustainable remediation to compliance risk and conduct issues identified through monitoring and testing, and assesses technology solutions to support testing and monitoring processes. The position is located in Iselin, New Jersey, and lists a rate of $615–$830 per day.
Requirements
- Ability to work independently with minimal oversight while delivering timely, quality work.
- Proficiency in writing clear and concise testing reports.
- Experience with and understanding of industry practices and disciplines for second-line compliance monitoring and testing.
- Excellent written and verbal communication and stakeholder-management skills at all organizational levels.
- Proficient engagement, influencing, and negotiating skills.
- Proficient investigative and analytical thinking.
- Strong control and risk-management mindset.
- Professional and engaged presence when working remotely, including consistent on-camera participation in virtual meetings and a home-office environment that supports reliable, productive, and professional work.
- Minimum bachelor’s degree.
- 5–7 years of experience in compliance testing, monitoring, auditing, or risk management.
- Advanced proficiency in Microsoft Office (Word, Excel, PowerPoint, and Teams) and SharePoint.
- Experience executing annual monitoring and testing plans.
Nice To Haves
- Postgraduate degree, such as a JD or MBA, or compliance, testing, or audit certifications.
- Regulatory experience.
- Familiarity with Governance, Risk & Compliance tools such as Archer.
- Knowledge of a financial market utility or FMU regulatory environment, key legislative requirements, and practical implications.
- Experience interfacing with regulators.
- Familiarity with corporate compliance programs and standards relating to Federal Reserve SR 08-8.
Responsibilities
- Independently conduct and deliver Compliance Testing reviews in line with the plan, on time and to an appropriate quality standard.
- Assist the Director of Monitoring in Testing with reporting on the Compliance Testing Plan and its results.
- Help track and validate corrective action plans.
- Work across departments to develop a monitoring inventory and monitoring standards, identify gaps, and create project plans where needed.
- Apply practical, proportionate, and sustainable remediation to compliance risk and conduct issues identified through monitoring and testing.
- Assess technology solutions for testing reviews, creating the monitoring inventory, and implementing monitoring standards.
Benefits
- US employees receive 23 holiday days.
- Two paid volunteer days.
- Parental leave policies and parental transition coaching programmes and support services.
- Wellbeing and mental health support resources.
- Hybrid working and active support of flexible working where possible.
- Monthly company-wide Heads Down Days with no meetings.
- 401K match for US employees.
- Private medical insurance and dental coverage.
- Social events.
- Annual flu vaccinations.
- Discounted gym membership and a Sweat Equity program for US employees.
- Access to Discover, a learning platform with more than 1,000 LinkedIn Learning courses.
- Frequent development sessions.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
