Compliance QA Specialist

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. 

Primary responsibilities include:

• Perform an independent assessment of the design and effectiveness of controls executed by Corporate Functions and Lines of Business through Monitoring and Testing activities to validate compliance with internal policies and procedures, as well as external laws, rules and regulations and identify any remediation that is required;
• Execute issue validations to ensure effectiveness of action plans implemented by the Corporate Functions and Lines of Business s for reviews performed;
• Collaborate with the Compliance and Operational Risk Officers on engagements including developing test scripts, collaboration on issue discussions, business meetings and drafting of final reports;
• Use independent judgment as well as technical, operational, and regulatory experience to perform tasks.
  
  Qualifications:
• Bachelor Degree or relevant experience in accounting, economics, finance or other related subjects;
• 3-5 years of experience in Compliance, Internal or External Audit or Risk functions (preferably, in the financial services industry);
• Understanding of internal controls, with the ability to assess risk mitigation taking into account the process and the characteristics of the business;
• Highly organized and detail-oriented;
• Strong analytical and communication skills;
• Team oriented with strong interpersonal skills and multi-cultural understanding;
• Self-motivated, driven, proactive, personable, and have excellent and efficient communication;
• Problem solver with the ability to work effectively with key stakeholders using strong influencing skills;
• Ability to work under pressure, manage multiple tasks, prioritize workflow with minimal supervision and meet deadlines;
• Ability to make sound decisions, including escalation where appropriate;
• Proficient in Microsoft Word, PowerPoint and Excel.