Compliance Tester
The Custom Group of CompaniesIselin, NJ
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Job Description
What you will be doing:
- Assist the Director of Monitoring in Testing with reporting related to the Compliance Testing Plan and its results
- Work independently with Director oversight to conduct and deliver Compliance Testing reviews on the plan in a timely manner and with an appropriate standard of quality
- Assist the team in tracking and validating corrective action plans
- Work across departments to develop a monitoring inventory and monitoring standards, identifying gaps and creating project plans where needed
- Apply practical, proportionate and sustainable remediation to compliance risk and conduct issues identified in the course of monitoring and testing.
- Assess optimal technology solutions for conducting testing reviews, creating the monitoring inventory, and implementing monitoring standards.
- Proficient in writing clear, concise testing reports.
- Understanding of industry practices and disciplines ideally having implemented and/or developed second line compliance monitoring and testing frameworks in the past.
- Excellent written and verbal communication and stakeholder management skills at all levels of the organization.
- Proficient engagement, influencing and negotiating skills.
- Proficient in investigative and analytical thinking.
- Ability to convert high level strategy and goals into operational plans.
- Strong control and risk management mindset
- Minimum bachelor's degree. Postgraduate degree (e.G., JD, MBA) or compliance / testing / audit certifications a plus.
- 5-7 years experience of compliance testing / monitoring / auditing / risk management. Regulatory experience a plus.
- Advanced proficiency in Microsoft Office (i.E., Word, Excel, PowerPoint) and SharePoint required. Familiarity with Governance, Risk & Compliance (GRC) tools (e.G., Archer) a plus
- Knowledge of a financial market utility or FMU regulatory environment, key legislative requirements and practical implications would be beneficial.
- Experience interfacing with regulators would be beneficial.
- Experience in executing annual monitoring and testing plans.
- Familiarity with corporate compliance programs and standards relative to Client SR 08-8 would be beneficial.
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FAQs About Compliance Tester Jobs at The Custom Group of Companies
What is the work location for this position at The Custom Group of Companies?
This job at The Custom Group of Companies is located in Iselin, NJ, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at The Custom Group of Companies?
Employer has not shared pay details for this role.
What employment applies to this position at The Custom Group of Companies?
The employer has not provided this information. This may be discussed during the hiring process.
What is the process to apply for this position at The Custom Group of Companies?
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