Overview
On Site
$30 - $50
Full Time
Skills
Policies and Procedures
Business Management
Database
Issue Tracking
Jersey
Legal
Management
ROOT
Regulatory Compliance
Testing
Reporting
Job Details
Compliance Independent Testing Examiner (Vice President)
CIB Compliance
Location: Jersey City, NJ
Responsibilities:
- Develop compliance testing programs for specific business units and products based upon applicable laws, regulations, risks, and internal policies.
- Independently conduct compliance testing of regulatory requirements, processes, policies, procedures, and controls under the direction of the Compliance Independent Testing (CIT) Manager and/or Head of CIT in order to assess and review compliance with legal, regulatory and internal firm policy and procedure requirements.
- Conduct testing of key controls of the first and second lines of defense.
- Escalate potential issues and exception items noted during the review process to CIT Manager / CIT Head for discussion and further investigation if deemed necessary.
- Draft and validate issues and recommendations addressing the root cause of the issues with stakeholders.
- Draft reports detailing regulatory requirements, testing conducted, review findings and recommendations. Issue final reports to senior management.
- Ensure that all findings and recommendations are entered into the Reporting & Issue Tracking Application database for tracking purposes and perform periodic follow-up of open issues to ensure proper resolution.
- Periodically report on significant activities conducted and planned for the upcoming period, including various metrics.
- Conduct adhoc testwork of various rules and regulations in conjunction with the annual CEO/CCO Certifications.
- Assist with the annual CEO/CCO Certifications as needed.
- Initiate and conduct projects within CIT to enhance the team s processes to reach overall team goals.
- Conduct various CIT tasks in the normal course of business and in addition to testing.
- Conduct or assist with special investigations and projects as deemed necessary by senior Compliance and business management.
- Assist in compliance related matters during examinations by the Firm s regulators and internal auditors.
- Achieve objectives within strict time constraints.
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.