Compliance Testing Specialist Sr - Governance & Standards

Position Title

Compliance Testing Specialist Sr

• Governance & Standards

Location

NYCB Plaza

• 102 (Hicksville, NY)

Job Summary

The Senior Compliance Testing Analyst assists the Governance and Standards (G&S) Team in the development and implementation of all G&S initiatives. Knowledgeable in the area of compliance testing with an understanding of compliance risk and controls. Perform activities, as needed, in the quality assessment and improvement program and development of the testing program and risk prioritization process.

Pay Range: $73,625.80 - $95,713.54 - $117,801.27

Pay Range: Local Minimum Wage - $0.00 - $0.00

Job Responsibilities:

• Perform Quality Assurance (QA) reviews of testing activities performed by the Enterprise Compliance Monitoring and Testing (ECMT) team through an assessment of workpapers and supporting documentation.

• Assist in the development and maintenance of the Annual Testing Plan and Semi-Annual Refresh - maintain awareness of internal and external inputs that drive the compliance risk environment and maintain workpapers related to activities performed.

• Act as a Subject Matter Expert in the ECMT Methodology and templates, providing guidance to the ECMT team when required.

• Perform QA of ECMT Issue Management through an assessment of issue validation performed and supporting documentation.

• Support management in Metrics Reporting and / or Departmental Training, as needed.

• Provide feedback and areas for improvement across G&S and Testing Team templates and documentation.

• Ensures proper engagement with areas supported to respond to any audit or regulatory review-related matters or inquiries.

• Complete all required compliance and other firm required training.

• Maintain knowledge of and adhere to all applicable internal compliance policies and procedures and other internal policies and procedures applicable to role.

ADDITIONAL ACCOUNTABILITIES

• Performs special projects, and additional duties and responsibilities as required.

• Consistently adheres to regulatory and compliance policies and standards linked to the job as listed and complete required compliance trainings. Accountable to maintain compliance with applicable federal, state and local laws and regulations.

Required Qualifications:

• Education level required: Undergraduate Degree (4 years or equivalent)
• Minimum experience required: 5+ Years of Financial Services experience, preferably at least half of those years in Compliance Testing, Internal Audit function, or a financial services consulting firm (e.g., PWC, E&Y, Grant Thornton, other) with regulatory compliance testing as an area of focus.

Preferred Qualifications:

• CRCM, ACAMS, Securities Licenses preferred but not necessary.

Job Competencies:

• Excellent knowledge of consumer protection laws and regulations impacting financial institutions.

• Excellent written and communication skills.

• Proven ability to partner effectively within an organization and develop positive working relationships.

• Excellent organizational skills.

• Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines.