Job Title: Sr Compliance Independent Testing Analyst
Status:Exempt
Reports to: Manager - Compliance Independent Testing
Department: Corporate Compliance
Job Code: 11900
Pay Range: $103,100.00 - $116,000.00 Annually
Location: Hybrid in Sacramento, CA
WHAT YOU'LL DO:- Conduct independent compliance testing to assess the effectiveness of the Credit Union's compliance policies, procedures, and controls.
- Participate, with limited supervision, in the planning, fieldwork, and reporting phases of assigned Compliance Testing reviews.
- Identify the objective, scope and depth of testing through the review of the risks and controls identified in the Compliance Risk Assessment or any other means.
- Lead in the development and preparation of testing approach and other supporting workpaper documents to ensure testing sufficiently covers complex regulatory requirements and business unit activities that are in scope for the review.
- Completes assigned Compliance Testing reviews within time and budget goals.
- Schedule and participate in commencement and exit meetings with business unit leaders and stakeholders.
- Prepare draft finding summaries that specify the findings and recommendations for implementing control or process improvements.
- Obtain management agreement of findings through factually correct conversations.
- Obtain management corrective action plans with respect to any issues identified.
- Document findings and management action plans in accordance with the Credit Union's Issue Management process.
- Perform follow-up to ensure timely completion of corrective actions and validate remediation activities for issue closure.
- Participate in other testing and monitoring activities including, KRI and KPI reporting, ad-hoc testing, etc.
- Identify and recommend efficiency improvements to Compliance Testing processes.
- Provide support and guidance to newer members of the Compliance Testing team.
- Participate and perform other functions and special projects as assigned.
- Maintain knowledge of and adhere to all applicable internal compliance policies and procedures and other internal policies and procedures applicable to role.
- Maintain knowledge of new and changing applicable compliance rules and regulations.
- Stay informed of changing regulatory requirements and the Credit Union's business model that might impact the compliance framework and the Compliance Testing plan.
- Performs special projects, and additional duties and responsibilities as required.
QUALIFICIATIONS AND PREFERENCES:- Bachelor's Degree or equivalent work experience required
- 7+ years Financial Services experience in consumer protection regulatory compliance, internal audit, external audit, financial services operations, or consumer protection compliance program development/evaluation required
Please view the full job description detailing the complete list of duties and expectations for this role by clicking or copying this URL into your browser: https://golden1.jdxpert.com/ShowJob.aspx?EntityID=2&id=2477
