Senior Tester

Our client, a Leading Global Bank, is looking for a Senior Tester to join their growing team.

  • Responsible for conducting testing reviews for the U.S. Compliance Testing Program, a critical program element of the U.S. Regulatory Compliance Management framework for CUSO/IHC; Responsible for producing quality final testing reports and work-papers that thoroughly document reviews; and Responsible for issue reporting and validation.
  • Conducting testing across the CUSO/IHC, resulting in detailed written reports documenting findings
  • Assisting with the reporting of Test Plan governance, including progress to plan reporting and change management
  • Provides ideas for the enhancement of the Program by leveraging Compliance Advisory, monitoring plan, and industry research
  • Responsible for entry of reviews and workpapers to TeamMate, and ancillary TeamMate tasks which may arise, for the purposes of completing plan execution
  • Responsible for assessing issues and advising on ratings, root causes, etc.
  • Responsible for escalating high risk issues found to senior management
  • Responsible for issue entry to CALMA and RegComp and oversight that corrective action has been taken and issues satisfactorily remediated 
Basic Qualifications (Legislative Requirement)
  • 2 – 5 years’ experience in the financial services industry in Compliance testing, branch inspection, Internal Audit or at a financial institutions regulator
  • Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
  • Experience with operating in a highly matrixed environment
  • Excellent communication and presentations skills
  • Excellent organizational skills
  • Excellent collaboration and team-building skills
  • Reviews and recommends materiality ratings of identified issues
  • Testing responsibilities are critical components of a well-functioning Regulatory Compliance Management program and it is an expectation of the FRB NY; regulatory criticism may result for failure to meet those expectations; Penalties for regulators may be increased for failures to have a robust testing and monitoring program   
  • IHC/CUSO-wide position