The Quality Assurance Specialist performs independent second line compliance monitoring, testing, and oversight to assess adherence to applicable laws, regulations, regulatory guidance, and internal compliance requirements. This role is responsible for evaluating the effectiveness of first line controls, identifying compliance gaps and emerging risks, documenting findings, tracking corrective actions, and reporting results to management and governance committees. Activities include risk-based monitoring, compliance testing, issue validation, regulatory change support, and oversight of remediation efforts across business functions.
You'll enjoy the flexibility to work remotely * from anywhere within the U.S. as you take on some tough challenges. For all hires in the Minneapolis or Washington, D.C. area, you will be required to work in the office a minimum of four days per week.
Primary Responsibilities:- Conduct independent compliance monitoring, testing, and validation to assess whether business units are operating in accordance with applicable laws, regulations, regulatory guidance, and internal compliance requirements
- Prepare work papers and other supporting documentation that clearly describe testing scope, methodology, results, root causes, risk impacts, and conclusions
- Maintain monitoring schedules, testing inventories, issue logs, and supporting documentation to evidence compliance oversight activities and results
- Assess the design and effectiveness of first line compliance controls and provide credible challenge regarding the adequacy of processes, controls, and corrective actions
- Prepare accurate and timely written reports on monitoring results, exceptions, trends, and emerging risks for management, compliance leadership, and governance committees, including the Board as needed
- Identify compliance gaps, control weaknesses, and emerging regulatory risks, and provide recommendations to business and compliance leadership regarding corrective action plans
- Execute risk-based compliance monitoring and testing across regulatory domains, which may include consumer compliance, fair lending, UDAAP, complaints management, third-party oversight, privacy, marketing, and BSA/AML compliance
- Track, validate, and report on remediation of compliance issues, including follow-up testing to confirm corrective actions are implemented and operating effectively
- Support regulatory examinations, internal audits, and external reviews by coordinating compliance monitoring documentation, responses, and issue status updates
- Monitor regulatory changes and assist in evaluating the impact of new or revised requirements on business activities, controls, and compliance monitoring plans
- Escalate material compliance issues, thematic concerns, and unresolved remediation matters through established governance channels
- Perform other duties as assigned
You'll be rewarded and recognized for your performance in an environment that will challenge you and give you clear direction on what it takes to succeed in your role as well as provide development for other roles you may be interested in.
Required Qualifications:- 2+ years of experience in compliance monitoring, compliance testing, quality assurance, audit, risk management, or other second line compliance oversight roles, preferably in the financial services industry
- 2+ years of experience supporting, partnering with, and providing effective challenge to internal business partners and control owners
- Proven skills in documenting reviews, analyzing data, and using systems and tools that support monitoring, testing, and reporting activities
Preferred Qualifications:- Experience with issue management, root cause analysis, remediation tracking, and report writing
- Proven knowledge of the financial services industry
- Demonstrated understanding of the compliance management system and the role of second line monitoring within the broader risk and control framework
- Demonstrated base computer proficiency with Microsoft Office suite (Excel, Word, PowerPoint, Outlook)
- Proven excellent oral and written communication skills
- Proven ability to work independently
- Proven ability to interpret laws, regulations, and regulatory guidance and apply them to compliance risk assessments, monitoring routines, and testing procedures
- Proven ability to manage multiple projects with a high-level of detail and organization
- Proven ability to meet tight deadlines
- Proven to communicate with all levels of management across the organization
- Proven ability to communicate findings, effective challenge, and regulatory expectations to business partners, management, legal, and compliance stakeholders
- Proven capacity to work in a fast-paced environment
- Proven sound judgment and ability to handle sensitive compliance matters with professionalism and independence
- Proven to welcome and adapts well to change
- Proven skilled in documenting reviews, analyzing data, and
*All employees working remotely will be required to adhere to UnitedHealth Group's Telecommuter Policy
Pay is based on several factors including but not limited to local labor markets, education, work experience, certifications, etc. In addition to your salary, we offer benefits such as, a comprehensive benefits package, incentive and recognition programs, equity stock purchase and 401k contribution (all benefits are subject to eligibility requirements). No matter where or when you begin a career with us, you'll find a far-reaching choice of benefits and incentives. The salary for this role will range from $72,800 - $130,000 annually based on full-time employment. We comply with all minimum wage laws as applicable.
Application Deadline: This will be posted for a minimum of 2 business days or until a sufficient candidate pool has been collected. Job posting may come down early due to volume of applicants.
