Sr Compliance Testing Officer

5 - 7 years experience  •  Financial Services

Salary depends on experience
Posted on 09/22/17
San Ramon, CA
5 - 7 years experience
Financial Services
Salary depends on experience
Posted on 09/22/17


Position Accountabilities


· Independently manages assigned testing protocols, and develops risk-based testing activities under Compliance Testing Manager, and/or Head of Independent Testing guidance.


· Leads and performs assigned testing activities within budgeted project hours including cross team engagements. Adheres to established timelines for testing and monitoring assignments. 


· Leads and performs testing activities accurately, thoroughly, and following work paper protocols in accordance with Compliance Independent Testing Standard, Operations Manual, FMP (Fundamental Monitoring Points) requirements, and CUSO-IHC Standard. 


· Adheres to Compliance Independent Testing Standards, Operational Procedures, established service level agreements, and any promised timelines in order to provide high value service to business partners. 


· Leads and contributes to team process enhancements through sharing of innovative ideas.  Also, adapts to and executes process improvements timely.


· Develops and maintains core technical and soft skills (e.g., systems, leadership, people management, planning and organizing, communication, job knowledge and problem solving).


· Prepares and presents written information in a clear, concise, grammatically correct, and convincing manner.


· Demonstrates and influences others with a positive attitude in the work place and accepts accountability.


· Responds timely to internal or external requests for information, analysis and/or advisory testing services.


· Achieve objectives within constraints.    


Required Education or Equivalent Experience

  • Bachelor’s Degree in Business Administration or related field Required
  • Any one of the following: Certified Internal Auditor (CIA), CRCM, CAMS or equivalent audit/compliance certification preferred 

Required Experience


  • Years of functional/professional experience: 5 - 7 yrs. combined in Banking/Compliance/Audit/Risk Management/Regulatory
  • Strong compliance knowledge and experience with banking regulations in lending and deposit; knowledge and experience with Third party vendor and Reg W preferred
  • Be a team player, willing to work flexibly to meet team goals


Administrative/Technical Skills/ Other Information

  • Extensive experience with MS Office products including Word, Excel, Access, PowerPoint, Outlook, and Visio is required. 
  • Working knowledge of data analytics tool (i.e., ACL) preferred


Not the right job?
Join Ladders to find it.
With a free Ladders account, you can find the best jobs for you and be found by over 20,0000 recruiters.