Principal Compliance Tester III – Corporate Functions

Principal Compliance Tester III – Corporate Functions

Requirements

• High School Diploma, GED or equivalent certification
• At least 3 years of compliance testing, monitoring, quality assurance, or audit experience

Responsibilities

• Executing targeted, complex transaction testing for line of business compliance requirements in alignment with team and Independent Compliance Testing Program methodology and procedures
• Suggesting changes to testing and performing high risk testing as needed
• Developing test plans, while continually validating and improving test design
• Managing testing schedules to ensure all tasks and reporting are completed within established timeframes
• Obtaining and analyzing test data from multiple sources and systemically documenting the work and results by following documented test plans, testing protocols and leveraging job aids as needed
• Supporting and initiating efforts to improve data sourcing and partnering with business and IT areas to develop improved data sources
• Reviewing transaction test and control reviews executed by peers for accuracy and adherence to test procedures
• Communicating test results verbally and/or in writing to stakeholders and other partners
• Submitting test results in our Governance Risk Compliance (GRC) system
• Systematically retaining documents that substantiate test results
• Participating in Annual Testing Calendar Planning process
• Establishing and maintaining strong relationships with Compliance Advisors and Business Areas
• Supporting ICTT and Compliance audit and exams as needed

Preferred Qualifications

• Bachelor’s Degree in Auditing, Accounting, Finance, Economics, Information Systems or Business Administration
• 4+ years of compliance monitoring or auditing experience
• 4+ years of experience working in financial services, specifically within accounting, audit, or compliance.