Internal Compliance QA Analyst

Apply today and embark on an exciting career with a Fortune 500 firm in Commercial Investment Banking!

You will be part of Compliance, Conduct and Operational Risk (CCOR) team which plays a critical role in the successful execution of the firm's Compliance, Conduct and Operational Risk mission. The CCOR function ensures the development and maintenance of a strong controls culture, by developing and maintaining a program infrastructure that identifies, measures, and monitors Compliance, Conduct and Operational Risk adherence. CCOR works closely with Business, Controls, Legal, Risk, Compliance and Audit functions to provide expertise on risk matters, assess and measure related risks, and monitor and test the adequacy of the firm's control environment.

The CCOR Monitoring & Testing Quality Assurance (QA) Team is responsible for the timely and effective management and execution of the Quality Assurance of the Firm’s Monitoring and Testing Program. This role offers an exciting opportunity to develop key skills and knowledge relating to many and various business areas around the globe.

The QA team partners and supports the Monitoring and Testing Program, Line of Business Compliance Officers, Core Compliance and Operational Risk Management globally.

Posting Description:

As part of Risk Management and Compliance, you are at the center of keeping the bank strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

The Compliance, Conduct & Operational Risk (CCOR) Quality Assurance Monitoring and Testing (M&T) team is responsible for the timely and effective management and execution of the firm’s global monitoring and testing program across multiple lines of business. This role will be part of a team of individuals responsible for providing solutions to drive effective controls monitoring and testing techniques using data, and for the execution of certain monitoring and testing engagements. The team will be covering all Lines of Business (e.g., Corporate and Investment Bank, Asset Wealth Management, Commercial Bank and Consumer Community Banking).

Responsibilities:

• Quality Assurance tests that the execution of the Monitoring and Testing Program in line with the firm’s Testing Standards and Procedures.
• Establish comprehensive test plans.
• Partnership with Monitoring & Testing, Operational Risk and Compliance managers, and business stakeholders. Involvement in departmental projects particularly in relation to the development of the Annual Monitoring and Testing Plan
• Work with global testing partners to support global monitoring and testing assignments as directed.
• Perform ongoing QA reviews of the Compliance functions mentioned, to ensure controls/standards are met
• Question and investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made
• Review quality of completed work, based on Firmwide standards.
• Identify key issues, trends, observations and effectively report summary results to key stakeholders. Ensure consistency with the Global QA framework and governance approach

Required skills:

• 1-3 years of relevant experience in the financial services industry in Compliance, Risk Management, Audit.
• Relevant Operational Risk Management or Compliance experience, alternatively other related experience such as audit, operations or business control management, or similar. An understanding of operational risks and their drivers and be able to challenge the design and effectiveness of the associated business controls
• Strong relationship building skills to influence/negotiate desired outcomes. Excellent interpersonal skills necessary to work effectively with colleagues and senior management. Strong verbal/written communication
• Ability to perform end to end reviews of processes, think through various risks, understand applicability of different regulations and policies and ultimately be able to identify gaps / risks in operating environment
• Good analytical skills, attention to detail and be able to demonstrate a good knowledge of control design and root cause analysis
• Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business partners.
• Bachelor’s degree in one or a combination of the following: Finance, Accounting, Analytics, or Reporting.
• Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner. This includes strong analytical skills particularly in regard to assessing the risks associated with execution deficiencies

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.

Apply today and embark on an exciting career with a Fortune 500 firm in Commercial Investment Banking!

You will be part of Compliance, Conduct and Operational Risk (CCOR) team which plays a critical role in the successful execution of the firm's Compliance, Conduct and Operational Risk mission. The CCOR function ensures the development and maintenance of a strong controls culture, by developing and maintaining a program infrastructure that identifies, measures, and monitors Compliance, Conduct and Operational Risk adherence. CCOR works closely with Business, Controls, Legal, Risk, Compliance and Audit functions to provide expertise on risk matters, assess and measure related risks, and monitor and test the adequacy of the firm's control environment.

The CCOR Monitoring & Testing Quality Assurance (QA) Team is responsible for the timely and effective management and execution of the Quality Assurance of the Firm’s Monitoring and Testing Program. This role offers an exciting opportunity to develop key skills and knowledge relating to many and various business areas around the globe.

The QA team partners and supports the Monitoring and Testing Program, Line of Business Compliance Officers, Core Compliance and Operational Risk Management globally.

Posting Description:

As part of Risk Management and Compliance, you are at the center of keeping the bank strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

The Compliance, Conduct & Operational Risk (CCOR) Quality Assurance Monitoring and Testing (M&T) team is responsible for the timely and effective management and execution of the firm’s global monitoring and testing program across multiple lines of business. This role will be part of a team of individuals responsible for providing solutions to drive effective controls monitoring and testing techniques using data, and for the execution of certain monitoring and testing engagements. The team will be covering all Lines of Business (e.g., Corporate and Investment Bank, Asset Wealth Management, Commercial Bank and Consumer Community Banking).

Responsibilities:

• Quality Assurance tests that the execution of the Monitoring and Testing Program in line with the firm’s Testing Standards and Procedures.
• Establish comprehensive test plans.
• Partnership with Monitoring & Testing, Operational Risk and Compliance managers, and business stakeholders. Involvement in departmental projects particularly in relation to the development of the Annual Monitoring and Testing Plan
• Work with global testing partners to support global monitoring and testing assignments as directed.
• Perform ongoing QA reviews of the Compliance functions mentioned, to ensure controls/standards are met
• Question and investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made
• Review quality of completed work, based on Firmwide standards.
• Identify key issues, trends, observations and effectively report summary results to key stakeholders. Ensure consistency with the Global QA framework and governance approach

Required skills:

• 1-3 years of relevant experience in the financial services industry in Compliance, Risk Management, Audit.
• Relevant Operational Risk Management or Compliance experience, alternatively other related experience such as audit, operations or business control management, or similar. An understanding of operational risks and their drivers and be able to challenge the design and effectiveness of the associated business controls
• Strong relationship building skills to influence/negotiate desired outcomes. Excellent interpersonal skills necessary to work effectively with colleagues and senior management. Strong verbal/written communication
• Ability to perform end to end reviews of processes, think through various risks, understand applicability of different regulations and policies and ultimately be able to identify gaps / risks in operating environment
• Good analytical skills, attention to detail and be able to demonstrate a good knowledge of control design and root cause analysis
• Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business partners.
• Bachelor’s degree in one or a combination of the following: Finance, Accounting, Analytics, or Reporting.
• Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner. This includes strong analytical skills particularly in regard to assessing the risks associated with execution deficiencies

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.