Compliance Testing Officer Resume Samples
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Compliance Testing Officer Resume Samples
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PS
P Steuber
Pedro
Steuber
28678 Pietro Groves
Boston
MA
+1 (555) 977 6250
28678 Pietro Groves
Boston
MA
Phone
p
+1 (555) 977 6250
Experience
Experience
Phoenix, AZ
Compliance Testing Officer
Phoenix, AZ
Pouros Inc
Phoenix, AZ
Compliance Testing Officer
- Review, evaluate and document compliance testing results before presenting to the Consumer Compliance Testing Group Manager and Compliance Testing Director
- Managing the administration of testing results and identified issues within the Firm’s centralised tracking system from raising to resolution
- Assisting with the timely delivery of high quality reviews in accordance with the testing plan by leading or contributing to assigned reviews
- Completing assigned compliance testing and monitoring activities in accordance with established timelines and high standards of quality
- Summarizing the results of testing and monitoring in clear, accurate and concise written reports; and
- Lead the development of regulatory compliance file review monitoring and testing processes and procedures, to address regulations including but not limited to
- Independently perform testing as directed by management by reviewing and analyzing the control environment
Chicago, IL
AML Compliance Testing Officer
Chicago, IL
Schroeder-Stanton
Chicago, IL
AML Compliance Testing Officer
- Oversight and Reporting Activities:Conduct/maintain trend analysis of results of compliance testing; provide key components of various AML Compliance reports and documents (e.g. AML/AT Annual Report, etc.); maintain schedule of testing activities and communicate plan with stakeholders; stay current on investigative process procedures; follow up on issues/recommendation and ensure resolution in a timely manner
- Assisting in planning, management, oversight, and liaising with Businesses, regional / product AML Compliance testing
- Collecting and reporting AML review results to: identify trends and areas of emerging risks; and communicate analysis to internal stakeholders to ensure consistency in approach to monitoring and addressing AML emerging risks
- Work with various countries across the region by providing consultancy on control issues identified as a result of AML testing
- Supporting regulatory, audit or third party activities related to AML Compliance Testing
- Leading or contributing to Financial Crime reviews covering various businesses and processes across all sectors that may either be in country or remote location; reviews will be conducted based on both those planned for the year (thematic, horizontal, targeted, ad-hoc) or on account of regulatory and/or business/industry issues
- The AML CTO will work with various countries in providing consultancy on control issues surfaced during compliance reviews in the respective countries
present
San Francisco, CA
Senior Compliance Testing Officer
San Francisco, CA
Metz, Gutkowski and Crist
present
San Francisco, CA
Senior Compliance Testing Officer
present
- Participates in Compliance testing reviews of the CCB LOBs in accordance with the established compliance testing program. This includes the testing of procedures, documenting results, conclusions, recommendations and distributing compliance testing review reports
- Generally interfaces with senior and middle line management
- Typically makes decisions independently but discusses unusual or complex issues with compliance management
- Establish and maintain a consistent dialog and relationship with compliance testing peers in the United States
- Adheres to HNAH’s Statement of Business Principles and Code of Ethics
- 30%: Risk Management (Compliance Findings and Reporting)/Leadership
- Review testing and monitoring reports and quality reviews to identify compliance errors, as well as trends of non-compliance within specific areas
Education
Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
University of Arizona
Bachelor’s Degree in Business
Skills
Skills
- Strong oral and written communication / negotiation skills, with the proven ability to influence opinion, articulate/substantiate review findings and defend these if challenged by senior business management
- Strong ability to manage and facilitate work projects both on the ground and with remote units
- Excellent interpersonal and team-building skills Highly organised, efficient and able to multi-task
- Knowledge of some of the businesses covered by the testing team and the relationship and regulatory risks associated with interaction between public and private side teams
- Excellent presentation and interpersonal skills; ability to communicate clearly and concisely both in person and in writing
- Broad understanding of the FCA Handbooks and Regulatory approach, particularly awareness of current regulatory issues impacting the asset management sector in the UK
- Strong oral and written communication / negotiation skills, with the proven ability to influence opinion, articulate/substantiate Review findings and defend these if challenged by senior business management
- Strong ability to manage and facilitate work projects
- Highly organised, efficient and able to multi-task
- Prior experience of conducting reviews of outsourced functions (i.e. those activities conducted by third-party providers on behalf of funds under management), would be beneficial
15 Compliance Testing Officer resume templates
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1
Compliance Testing Officer Resume Examples & Samples
- The Officer will work on reviews both in the capacity of lead reviewer as well as participant in the reviews led by other team members
- Proven track in industry experience with a background in Compliance, Risk or Audit, preferably gained in an international financial institution
- A good knowledge of multiple control testing environments
- Strong ability to manage and facilitate work projects both on the ground and with remote units
2
Markets Compliance Testing Officer Resume Examples & Samples
- The Compliance Testing Officer ('The Officer') will perform analysis against regulatory risks and associated controls and conduct testing of these in accordance with predetermined standards and test programmes
- The Officer will be involved in reviews covering various businesses and processes across all sectors
- Based in the regional office (London) the officer will work with various countries in providing consultancy on control issues surfaced during compliance reviews in the respective countries
- Very good knowledge of Corporate Banking products, processes, procedures and regulations
3
ISA Compliance Testing Officer Resume Examples & Samples
- The Officer will perform remote reviews, both through the centralised capture of data amenable to sample-based and testing and through the development of virtual review teams, able to be directed by the Officer towards the collaborative execution of a review
- The Officer will work on individual projects assigned from time to time within the Compliance Testing remit
- Minimum 5 years industry experience with a background in Compliance, Risk or Audit, preferably gained in an international financial institution
- In-depth understanding of audit methodology, risk and control analysis
- Experience in leading projects or relevant parts of a project
- Strong oral and written communication / negotiation skills, with the proven ability to influence opinion, articulate/substantiate review findings and defend these if challenged by senior business management in German and English
4
Markets Compliance Testing Officer Resume Examples & Samples
- The Markets Compliance Testing Officer ('The Officer') will perform analysis against regulatory risks and associated controls specific to Citi London Markets activities and conduct testing of these in accordance with predetermined standards and test programmes
- Based in the regional office (London) the officer will work primarily with the London Markets desks and Markets Compliance teams in providing consultancy on control issues surfaced during compliance reviews in their respective businesses and countries
- Extensive industry experience with a background in Markets Compliance, Risk or Audit, preferably gained in an international financial institution
- Very good knowledge of Markets products, processes, procedures and regulations
5
Compliance Testing Officer Resume Examples & Samples
- The CTO will be involved in testing applicable legal, regulatory and policy requirements covering various businesses and processes across all sectors
- The CTO will work on Reviews both in the capacity of lead reviewer as well as participant in the Reviews led by other team members. Reviews can be conducted based on those planned for the year (thematic, horizontal, targeted, ad-hoc) or on account of regulatory and/or business/industry issues
- The CTO will work on individual projects assigned from time to time within the Compliance Testing remit
- Based in Dublin, the CTO will work with various countries across the region in providing consultancy on control issues identified as a result of testing in the respective countries
- The CTO will be a member of the regional Compliance Testing Team and will be expected to provide a strong advisory role in the team’s activities, strategy and development
- The CTO will collect and report Review results to identify trends and areas of emerging risks and communicate analysis to internal stakeholders to ensure consistency in approach to monitoring and addressing emerging risks
- The CTO will provide support in relation to regulatory, audit or third party activities specific to Compliance Testing
- Broad Product knowledge required
- Background and understanding of relevant laws and regulations, and applicability to various business lines such as cash, trade, funds and markets
- In-depth understanding of the risk and control environment
- Strong Planning and organisational ability
- Strong oral and written communication / negotiation skills, with the proven ability to influence opinion, articulate/substantiate Review findings and defend these if challenged by senior business management
- Strong ability to manage and facilitate work projects
- Unwavering commitment to a collaborative team environment
6
Compliance Testing Officer Resume Examples & Samples
- Some travel maybe required
- Required certifications are required depending on role. (Egg. CAMS, CCRP, CISA, CIA etc.)
- Bachelor’s degree or equivalent job experience
- Knowledge of assigned business, products, operations, systems and organization with an understanding of the regulatory compliance environment
- Excellent communication skills both written and oral
- Proficiency with personal computers, mainframe systems and software packages
7
Senior Corporate Compliance Testing Officer Resume Examples & Samples
- Designs, Plans, Executes and Leads Compliance Reviews (Monitoring and Testing) to assess the effectiveness of the bank’s practices used to ensure legal and regulatory compliance
- Writes Compliance Assessment Reports for senior and executive management that summarizes the scope of work performed, findings, and any regulatory exceptions
- Prior internal audit, bank examiner or compliance experience helpful
8
Senior Compliance Testing Officer Resume Examples & Samples
- Manages a Compliance Monitoring and Test Team assigned to a geographical area, a business line or a product family
- Researches regulatory law, recent or proposed changes, guidance and interpretations as part of the Compliance Review planning process
- May participate in the development of Compliance standards, policies and practices
- Years of supervisory or managerial experience: 5+ years
- Exceptional project management, prioritization, and planning skills, with demonstrated success producing high-quality deliverables
9
Compliance Testing Officer, Senior Resume Examples & Samples
- Participates in the Regulatory Risk Assessment process that identifies and maintains the bank list of high, medium and low risk legal and regulatory obligations
- Years of functional/professional experience: 7+ years
- Alternative: Combination of education and experience (years /description): Experience in regulatory compliance examination or supervision. CRCM preferred
- Experience with developing and delivering targeted training to business users
- Experience with a complex source data system environment and ability to understand and document complex data flows
10
AML Compliance Testing Officer Resume Examples & Samples
- The AML CTO will be involved in AML reviews covering various businesses and processes across all sectors
- Assisting in planning, management, oversight, and liaising with Businesses, regional / product AML Compliance testing
- Collecting and reporting AML review results to: identify trends and areas of emerging risks; and communicate analysis to internal stakeholders to ensure consistency in approach to monitoring and addressing AML emerging risks
- Supporting regulatory, audit or third party activities related to AML Compliance Testing
- The AML CTO will perform remote reviews, both through the centralised capture of data amenable to sample-based and testing and through the development of virtual review teams, able to be directed by the AML CTO towards the collaborative execution of a review
- The AML CTO will work with various countries in providing consultancy on control issues surfaced during compliance reviews in the respective countries
- The AML CTO will be a member of the regional AML Compliance Testing Team and will be expected to provide a strong advisory role in the unit’s activities, strategy and development
- Minimum 8 years of overall industry experience with a background in Compliance, Risk or Audit, preferably gained in an international financial institution
11
Compliance Testing Officer Resume Examples & Samples
- The CPB Compliance Testing Officer ('The Officer') will perform analysis against regulatory risks and associated controls specific to Citi Private Bank (EMEA) activities and conduct testing of these in accordance with predetermined standards and test programmes
- The Officer may also be involved in reviews covering other businesses and processes across all sectors
- Based in the regional office (London) the officer will work primarily with the CPB EMEA Business and Compliance teams in providing consultancy on control issues surfaced during compliance reviews in their respective businesses and countries
- Minimum 5 years industry experience with a background in Private Bank Compliance, Risk or Audit, preferably gained in an international financial institution
- In-depth understanding of testing or audit methodology, risk and control analysis
- Very good knowledge of Private Bank products, processes, procedures and regulations
12
Senior Compliance Testing Officer Resume Examples & Samples
- Demonstrates extensive regulatory compliance knowledge and possesses compliance testing skills specific to Consumer and Community Banking (CCB)
- Manages and conducts regulatory compliance reviews and continuous monitoring efforts by evaluating line of business internal controls through the performance of testing/validations of local laws and regulatory control environment requirements at Global Service Center (GSC) locations in India and the Philippines
- Bachelor degree or comparable work experience required
- Demonstrated excellent interpersonal, communication, negotiation, and resource management skills
- Familiarity with database languages in order to perform analytics and select transactional testing samples is a plus
13
Compliance Testing Officer Resume Examples & Samples
- Conducts regulatory compliance reviews and continuous monitoring efforts by evaluating line of business internal controls through the performance of testing/validations of local laws and regulatory control environment requirements at Global Service Center (GSC) locations in India and the Philippines
- Participates in Compliance testing reviews of the CCB LOBs in accordance with the established compliance testing program. This includes the testing of procedures, documenting results, conclusions, recommendations and distributing compliance testing review reports
- Generally interfaces with middle line management
- Typically makes decisions independently but discusses unusual or complex issues with compliance management
- Establish and maintain a consistent dialog and relationship with compliance testing peers in the United States
- Accountable to local Chief Compliance Officers for status updates and reporting for all testing activity being performed at GSC locations in India and the Philippines
- 4-5 years banking experience and 2-3 years compliance, QA or audit experience
- Candidates will have an established knowledge of local laws and regulatory control environment at GSC locations in India and/or the Philippines
- Candidates are fully knowledgeable of applicable federal and state regulations specific to consumer LOB functions, including but not limited to Regulation Z, UDAAP, Regulation B, FCRA and Privacy
- Excellent decision maker with the ability to manage multiple tasks
14
AVP Senior Compliance Testing Officer Resume Examples & Samples
- Some U.S. domestic travel may be required
- Knowledge of assigned businesses, products, operations, systems and organization and understanding of all significant regulatory compliance requirements applicable to the business
- Proficiency with personal computers and pertinent mainframe systems, and software packages
15
AML Compliance Testing Officer Resume Examples & Samples
- Responsible for testing applicable AML legal, regulatory and policy requirements covering various businesses and processes across all sectors of CEP and its branches
- Work on AML reviews both in the capacity of lead reviewer as well as participating in the AML aspects of reviews led by other team members Reviews may be conducted based on those planned for the year (thematic, horizontal, targeted, ad-hoc) or due to regulatory and/or business/industry issues
- Work on AML related projects assigned from time to time within the Compliance Testing remit
- Work with various countries across the region by providing consultancy on control issues identified as a result of AML testing
- This individual will also be part of the Global and Regional Compliance Testing team and will be expected to provide a strong role in promoting the team’s activities, strategy and development
- Collect and report review results to identify trends and areas of emerging risks and communicate analysis to internal stakeholders to ensure consistency in approach to monitoring and addressing emerging risks
- Provide support in relation to regulatory, audit or third party activities specific to AML Compliance for CEP
- Minimum 8 years of overall industry experience, preferably with a background in Compliance, Risk or Audit gained in an international financial institution
- Background and understanding of relevant AML laws and regulations, and applicability to various business lines such as Cards, Mortgage, Retail, commercial products, capital markets products, institutional and retail brokerage and private banking
- Experience and knowledge from a risk and control perspective
- Accuracy and attention to detail in the presentation and publication of AML compliance testing reports to a senior audience
- College/university education preferred, but an exceptional working track record will also be deemed important
- Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience. Competencies
- The successful candidate will need to show that he/she is prepared to take responsibility to lead/manage AML testing in a multi-dimensional business environment
- The candidate should be able to work with compliance and business partners in pursuing the team’s common objectives
- The candidate must be able to work effectively within the CEP Compliance Testing team and with the compliance testing function across the region
- Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience
16
Compliance Testing Officer Acca Resume Examples & Samples
- Carry out in-country as well as remote evaluations in the Caribbean and Central American countries, including the monitoring of corrective action plans established. Support to South if required
- Responsible for the implementation of a Compliance Testing Plan review risk-based testing, following a rigorous testing methodology to assess the effectiveness of controls related to compliance with applicable policies, including Anti-Money Laundering, the goal is to reduce Legal/Regulatory risks to a minimum ensuring consistency of all related Compliance processes across the cluster and the region
- Participate in all aspects of the execution of Compliance Testing Reviews, in accordance with Compliance Testing standards, and any applicable local regulatory requirements
- Assist in training and developing others in the application of various review and risk assessment techniques and accounting principles
- Develop an in-depth knowledge and understanding of the financial business, products and processes, including regulatory policies and their business implications
- Understand and accurately evaluate risks and controls as they relate to business objectives
- Support Planning and Reporting team on requirements (short time frame for delivery, PowerPoint Presentations)
- Audit/Business Administration/Finance
- English (Oral, and Written)
- Powerpoint
- Executer
- Strong organization, and discipline skills
- Team working capacity
17
Compliance Testing Officer Resume Examples & Samples
- Establishment of annual compliance testing plan
- Timely completion of the plan
- High Quality Work Papers including Report
- Validation of corrective actions associated with our findings have been properly implemented
- Increase the level of interaction with Internal Audit Team and other internal control functions
- BA or BS above
- 10 years of banking work experiences or above
- Personality of active listing, pro-active participation and sharing ideas
- Communication ability with AP Regional Team
- Knowledge of Compliance Policies and Internal Standards
- Sufficient Understanding on business practices and operation process
- Identification of control weakness area
- Pro-active participation and enhancing overall engagement of managers and peers
18
Senior Compliance Testing Officer Resume Examples & Samples
- 30%: Complaint Management Process/Testing Process
- Discharges the role position accountabilities by proactively assisting the team and management in identifying and containing compliance risk and fostering a compliance culture
- Maintain current knowledge of all new regulatory developments which are applicable to Retail Lending operations. Determine the impact of proposed or actual changes to regulations upon current processes and procedures
- Be knowledgeable about the Lending process and have the ability to research an issue and incorporate the right business partners to recommend a compliant solution
- Be proactive and self- managed and require minimal supervision to bring resolution to a complaint
- Research regulatory requirements to understand the nature of a Regulatory complaint and work with the appropriate Legal partners to recommend a corrective action and then respond in writing in a professional manner
- Must have strong oral and written communication skills to respond to customer and regulators if required, both verbally and in writing
- Ensures accurate and timely reporting to senior management and/or agencies
- Lead the development of regulatory compliance file review monitoring and testing processes and procedures, to address regulations including but not limited to
- 30%: Risk Management (Compliance Findings and Reporting)/Leadership
- Independently perform testing as directed by management by reviewing and analyzing the control environment Perform complex reviews of loan origination files to assess quality, accuracy and compliance with applicable regulatory standards
- Review testing and monitoring reports and quality reviews to identify compliance errors, as well as trends of non-compliance within specific areas
- Validate and Identify root causes of issues
- Produce accurate reports, and communicate observations and findings with appropriate tone and prioritization
- Lead Discussions with Executive Management to discuss issues and recommendations
- Provide guidance to Quality Control team members regarding file reviews. Serve as a resource to resolve questions regarding the review process and potential issues. Ensure that file reviews are conducted according to specified guidelines on a timely basis
- Oversee the compilation and review of detailed management reports and documentation. Maintain accountability for the completeness and accuracy of testing/monitoring reports
- Review quality review reports to identify compliance errors, as well as trends of non-compliance within specific areas
- Analyze alternatives for addressing quality review findings. Recommend specific changes in processes and procedures to prevent further occurrences of non-compliance
- Serve as a Subject Matter Expert and provide technical regulatory expertise and consultation in corrective action discussions with affected Retail Lending areas. Provide recommendations for remediation/corrective action to prevent further instances of non-compliance
- Provide approval for and ensure proper documentation for quality assurance exception requests
- 20%: Compliance Collaboration
- Serve as a liaison with Business Unit Compliance Officers and other Retail Lending Operations staff to ensure a cross-business, consistent approach to compliance
- Serve as a liaison with Risk(Exam Management) to help prepare for exams if needed and to help provide pertinent information from a Complaint and Testing perspective
- Work collaboratively with Business Unit Compliance Officers to successfully implement any procedural changes resulting from testing and monitoring, observations or findings. Proactively collect feedback to assess effectiveness of proposed changes and confer with BUCO Sr. Manager to engage in large scale projects
- Works effectively and independently in a team setting to assist in the implementation and execution of all aspects of the review of assignments
- Advise and/or instruct Quality Assurance team members on how to evaluate specific loan scenarios
- Address service issues between Quality Assurance and Mortgage Operations and adequately mitigate future issues. Communicate those issues to the appropriate Business Unit Compliance Officer as well as Corporate Compliance and Legal, if needed
- Assist in training compliance testing officers to better understand monitor and testing requirements
- Communicates openly, honestly and with transparency ensuring commitment to the Bank’s values and principles
- Information Access – This position has authority to access and utilize customer and financial information. Also access to internal compliance policies, operational directives and procedures, servicing data, loan origination system and MRP, salesforce (compliant management system)
- Expert knowledge of real estate lending products, and secondary market guidelines. (FNMA/FHLMC/FHA/VA/USDA)
- Prior experience in Complaint Management and Compliance Monitoring and Testing preferred
- Education/experience equivalent to a four-year degree in business, finance or related field
- 5-7 years consumer/retail lending experience with at least two years of compliance experience
- Strong analytical skills required with attention to detail
- Knowledge of loan origination systems as well as other software/systems used by the Bank and Retail Lending
19
Compliance Testing Officer Resume Examples & Samples
- Minimum 10 years industry experience with a background in Compliance, Risk or Audit, preferably gained in an international financial institution
- Experience of at least three major areas of banking operations, including very good knowledge of Corporate Banking products, processes, procedures and regulations
- A minimum of a first degree or its equivalent in any discipline plus a relevant higher degree or professional qualification
20
Compliance Testing Officer Resume Examples & Samples
- Perform compliance testing from start to finish (planning, executing, reporting, follow up)
- Participate in the development of compliance testing standards, policies and practices
- Adhere to polices and procedures
- Bachelor’s Degree in Business Administration or related field experience
- Any one of the following: Certified Internal Auditor (CIA), CRCM, CAMS or equivalent audit/compliance certification is preferred
- Years of related functional/professional experience: 3+ years
- Experience with MS Office products including Word, Excel, Access, PowerPoint, Outlook, and Visio
- Experience with mainframes or applications (HOST, eVision, AFS) is helpful
21
Compliance Testing Officer Resume Examples & Samples
- Researching and developing the steps needed to test and/or monitor compliance with applicable policies/ procedures and with the laws/ regulations
- Completing assigned compliance testing and monitoring activities in accordance with established timelines and high standards of quality
- Summarizing the results of testing and monitoring in clear, accurate and concise written reports; and
- Be able to effectively communicate and explain the results of testing/monitoring activity to line management
- Planning and organizational skills required
- Ability to manage multiple priorities and projects
- Excellent judgement, logic and reasoning
22
Senior Corporate Compliance Testing Officer Resume Examples & Samples
- Designs, plans, leads and executes testing procedures to ensure compliance with the Volcker Rules and other banking regulations
- Performs testing of Volcker Rules enhanced compliance program, including maintenance of internal controls to comply with the rule
- Analyzes changes to the Volcker Rules and associated guidance and interpretations and test the enhanced compliance program accordingly
- Assesses the effectiveness of bank’s processes and controls to ensure legal and regulatory compliance
- Provides training and oversight of other testers when required
- Assists in developing the enterprise risk assessment including BSA/AML/OFAC
- Reviews new and pending laws and regulations assigned by the Compliance Program Manager; tests impacted areas of changing laws, regulations, or policies to ensure that appropriate changes are implemented
- Writes Compliance Assessment Reports for senior and executive management that summarizes the scope of work and communicate testing results to management
- Coordinates and collaborates with other Compliance functions on reviews and other assigned projects
- Any one of the following: Certified Internal Auditor (CIA), CRCM, CAMS or equivalent audit/compliance certification preferred
- Years of functional/professional experience: 5 - 7 yrs combined in Banking/Compliance/Audit/Risk Management/Regulatory
- Strong knowledge of banking regulations, derivatives, liability management and working knowledge of federal securities laws
23
Senior Compliance Testing Officer Resume Examples & Samples
- May lead a Compliance Monitoring and Test Team assigned to a geographical area, a business line or a product family
- 7+ years of functional/professional experience
- 5+ years of supervisory or managerial experience
- Alternative: Combination of education and experience (years /description) Experience in regulatory compliance examination or supervision. One or more of the following are preferred: CIA, CFE, CISA, CFSA, CRCM
- Verbal and judgment skills necessary to interact with the bank's FDIC, CFPB and FED regulators
- Ability to interact with Corporate Compliance's Regulatory SME and Risk Assessment Teams, and integrate their advice and regulatory opinion into test script development and our compliance review programs
- Executes appropriate professional judgment pertaining to privileged knowledge about the bank's regulatory weaknesses
- Ability to apply holistic thinking about testing observations and determine how they may impact the entire organization
24
Consumer Compliance Testing Officer Resume Examples & Samples
- The Officer will be a member of the regional Compliance Testing Team and will be expected to provide a strong advisory role in the unit’s activities, strategy and development
- Accuracy and attention to detail in the presentation and publication of compliance testing reports to a senior audience
- Unwavering commitment to co-operative and collaborative working
25
AVP Senior Compliance Testing Officer Resume Examples & Samples
- Works with testing teams and business managers to identify systems-needed sources of data for testing
- Minimum of five to seven years proven and progressive financial services audit, operations, and/or compliance experience or equivalent, preferably in a large bank environment
- Understanding of operational risk and associated business workflows
- Strong understanding of banking systems, databases and banking products
26
Compliance Testing Officer Resume Examples & Samples
- The team is has 5 people on it
- You will be working across a varitey of Compliance functions across 21 countries applying and reviewing policies for each. This is an exciting opportunity for an individual that is self driven, can adapt to change and has great market knowledge
- The role will also involve a small bit of travel to countries such as France, Greece, Portugal and Spain
- The salary scale for this role is 80-85K
- The ideal candidate will have expierence in Compliance, Risk or Audit gained in an international financial institution
- Knowledge of laws and regulations applicable to a financial institution
27
Compliance Testing Officer Volcker Rule Resume Examples & Samples
- Conduct compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks
- Ensure that all findings and recommendations are entered into Compliance Testing’s Issue Tracker for tracking purposes and perform required follow-up of open issues to ensure proper resolution
- Strong knowledge of Dodd-Frank as it related to the Volcker Rule of the Bank Holding Company Act
- Knowledge of swap dealer rules, including the rules and regulations of the CFTC and the SEC is a plus, but not required
- A background in compliance testing, audit or risk is a strong plus
- A background in Advisory / Line-of-Business Compliance is a strong plus, particularly in Capital Markets (Equities or Fixed Income Compliance) or Investment Advisory Compliance
- Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders, including regulators and senior management
- BA or BS Degree a must
28
Compliance Testing Officer, Retail Lending Resume Examples & Samples
- Regulatory knowledge of Consumer Protection Regulations, Federal and State Regulations/ Laws that impact Retail Lending (Secured and Unsecured Lending) i.e., Truth-in-Lending(Reg Z),Real Estate Settlement Procedures Act(HUD Regulation X), ECOA(Reg B), HMDA, Fair Housing Act,etc
- Prior experience in Compliance Monitoring and Testing preferred, but not required
- 3-5 years consumer/retail lending experience with at least three years of compliance experience
29
Senior Compliance Testing Officer Resume Examples & Samples
- 30%: Compliance Testing and Monitoring Process
- Expert knowledge of lending products(Real Estate and unsecured), and secondary market guidelines. (FNMA/FHLMC/FHA/VA/USDA)
- 5-7 years Servicing or Collections Testing experience with at least five years of compliance experience
- Knowledge of loan servicing/collections systems as well as other software/systems used by the Bank and Retail
30
Compliance Testing Officer Resume Examples & Samples
- Regulatory knowledge of Consumer Protection Regulations, Federal and State Regulations/ Laws that impact Retail Servicing and Collections (Secured and Unsecured Lending) i.e., Truth-in-Lending(Reg Z),Real Estate Settlement Procedures Act(HUD Regulation X), ECOA(Reg B), HMDA, Fair Housing Act,FDCPA, Bankruptcy, SCRA,etc
- 3-5 years consumer/Servicing or Collections Testing experience with at least three years of compliance experience
- Knowledge of loan servicing/collections systems as well as other software/systems used by the Bank and Retail Lending
31
Compliance Testing Officer Resume Examples & Samples
- Executing testing based on an annual plan adjusted periodically for emerging trends in regulatory/Compliance risks. Identify all relevant regulations applicable to the identified compliance risks to be covered in a review. Performing analysis against regulatory risks and associated controls and conduct testing of these in accordance with predetermined standards and test programs covering various businesses and processes across all sectors
- Lead/Participate in Compliance testing reviews planning and develop a test program where required
- Execute the test program, and document the test details and results in the test program document as per current Standards
- Assess the risk level of exceptions identified, and communicate effectively with the related parties
- Propose solutions and help process owner develop corrective action plan (CAP), ensuring that CAPs adequately address the issues/risks
- Support or perform a CAP validation
- Perform remote reviews, both through the centralized capture of data and through the development of virtual review teams
- Based in Warsaw office, to work with various countries in providing consultancy on control issues surfaced during compliance reviews in the respective countries
- Work on individual projects assigned from time to time within the Compliance Testing remit
- Be a member of the regional Compliance Testing Team and will be expected to provide an advisory role in the unit’s activities, strategy and development
- Good knowledge of Retail Banking products, processes, procedures and regulations
- Commitment to co-operative and collaborative working
- Balanced approach to review exception
- Knowledge of Russian language will be a plus
32
Compliance Testing Officer, Associate Resume Examples & Samples
- Strong testing/audit background related to regulatory compliance
- Comprehensive knowledge of federal and state lending regulations. Preferred experience with TILA, RESPA, HMDA, CRA, ECOA, FCRA, or Flood
- Assess adherence to regulatory requirements and laws. Serves as an independent reviewer to conduct transactional testing across the Lending Compliance purview areas of Residential Lending, Consumer Finance and Payments, Business Banking Group, and Commercial Mortgage Operations
- Ability to understand transactional test scripts based on knowledge of regulations and business practices and be able to execute testing as assigned. Knowledgeable enough to question and escalate, if warranted
- Ensure that test findings and trends are adequately communicated, evaluated and addressed with the Test Lead and the Lending Compliance Testing Manger
- Participate in various ad-hoc projects as requested by Testing Team Management
- 3 - 5 years of experience within financial services industry preferred with emphasis on regulatory requirements
- Experience in mortgage banking, performing testing, quality control/assurance processes or internal/external audits
- Minimum of 2 years of experience executing testing efforts or exposure to audit, quality control or quality management functions and results
- Strong analytical, research and problem solving skills
- Ability to work under tight deadlines and successfully manage multiple tasks at one time
- Bachelor’s degree with professional certification preferred
33
Compliance Testing Officer Resume Examples & Samples
- Perform analysis against regulatory risks and associated controls specific to Citi’s ICG activities and conduct testing of these in accordance with predetermined standards and test programmes
- Perform remote reviews, both through the centralised capture of data amenable to sample-based testing and through the development of virtual review teams, able to be directed by the Officer towards the collaborative execution of a review
- Based in the regional ICG Compliance Testing team the officer will work primarily with the London ICG desks and ICG Compliance teams in providing consultancy on control issues surfaced during compliance reviews in their respective businesses and countries
- Prior exposure to markets and banking products, processes, procedures and regulations a benefit
- Experience working with the handling and communication of complex concepts
- Demonstrable ability to deliver with minimal supervision
- Motivated, enthusiastic and positive
- Good systems skills, including the full Microsoft Office suite
- Project management and presentation skills
- Able to work on own initiative
- Excellent judgement and analytical skills
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AVP, Compliance Testing Officer Resume Examples & Samples
- Define compliance testing scope of work, develop test program, conduct reviews of various consumer banking business divisions and functions (including retail branch network, deposit operations, credit card, mortgage lending and servicing) against an inventory of regulatory risk obligations
- Demonstrate working knowledge of consumer banking laws and regulations and their applicability to retail branch operations and consumer lending including but not limited to, ECOA, UDAAP, TILA, RESPA, HMDA, HUD/FHA Guidance
- Ensure testing is performed in compliance with testing standards, requirements and procedures and system applications
- Provide inputs into the retail branch testing program including but not limited to mystery shopping, and ensure that it is effectively aligned with business level monitoring and audit processes
- Work in collaboration with Compliance Subject Matter Experts, Business Compliance Officers and other stakeholders in various phases of compliance testing, including, planning, notification, fieldwork, escalation, reporting and follow-up
- Demonstrate ability to exercise judgment in assessing the material significance and relevance of identified compliance exceptions and ensure timely escalation
- Draft reports, which are concise, timely and provide value to business and management to continuously improve compliance controls and mitigate risks
- Identify, track and communicate compliance findings, issues and risks and make issue remediation recommendation, and work with responsible owners to address the items on a timely basis; ensure appropriate issue reporting and escalation
- Communicate findings and recommendations to management, determine root causes, obtain management’s action plan for remediation in a timely manner and track findings through resolution using BWise
- Demonstrate ability to exercise sound judgment in assessing the significance and relevance of identified compliance risks and timely escalation to the Head of CTG
- Maintain competency through ongoing professional development and active participation through internal and external training sources
- Participate in strategic initiatives, stretch assignments and projects relevant to the responsibility of CTG as needed
- Bachelor’s degree (preferably in business, finance or equivalent)
- 5+ years proven experience in consumer banking – preferably in a Compliance function
- 3+ years audit or compliance testing execution or program management with proven understanding of testing methodologies and processes
- Good knowledge of the laws and regulations applicable to CIT’s consumer banking business, including consumer lending and deposit operations
- In-depth knowledge and experience in the functions and processes within the mortgage lending and servicing fields
- Knowledge of branch banking operations, retail banking and/or retail administration management (preferred)
- Some level of knowledge of state mortgage regulations (preferred)
- Excellent communication and interpersonal skills with the ability to effectively and confidently communicate and influence at management level with the personality to challenge status quo
- Demonstrate strong analytical and problem solving skills with good understanding of risk management concepts and sound decision making ability
- Excellent writing skills with ability to effectively articulate findings and issues in concise manner
- Strong attention to detail with ability to multi-task, prioritize and work well in a fast paced organization
- Ability to work in partnership with others and in a team environment and possess strong work ethics
- Exhibit accountability – personal ownership for actions, decisions
- Proficiency with data management, spreadsheet and standard computing applications (Excel, PowerPoint and Word)
- Previous experience with testing software and applications e.g. BWise
- Proven understanding of the risk environment in which the company operates
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Compliance Testing Officer Resume Examples & Samples
- 5+ yrs combined Compliance/Audit/Risk Management/Loan Operations experience
- Knowledge of consumer mortgage lending products, direct/indirect lending of auto/RV/marine, and credit cards
- Knowledge of bank lending operations
- Ability to work collaboratively and independently
- Strong interpersonal, written, and verbal communication skills
- Strong research, analytical, and problem solving skills
- A desire to learn and a self-starter
- Detail oriented and ability to multi-task
- Good time management skills and dependability
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AML Compliance Testing Officer Resume Examples & Samples
- Leading or contributing to Financial Crime reviews covering various businesses and processes across all sectors that may either be in country or remote location; reviews will be conducted based on both those planned for the year (thematic, horizontal, targeted, ad-hoc) or on account of regulatory and/or business/industry issues
- Related industry experience with a background in Compliance, Risk or Audit, preferably gained in an international financial institution
- Financial Crime Compliance experience is essential
- Background and understanding of relevant AML laws and regulations, A B and C guidance and Sanctions regimes, and applicability to various business lines such as Cards, Mortgage, Retail, Commercial products , capital markets products, institutional and retail brokerage, and private banking
- Excellent interpersonal and team-building skills
- Highly organised, efficient and able to multi-task
- Self-Starter; able to work on own initiative
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Compliance Testing Officer Resume Examples & Samples
- Assisting with the timely delivery of high quality reviews in accordance with the testing plan by leading or contributing to assigned reviews
- Monitoring timely completion of Corrective Actions Plans (‘CAPs’) developed in response to issues identified through compliance reviews and performing validation testing to verify appropriate CAP completion and issue closure
- Leading/contributing to the design and/or implementation of key initiatives to improve various aspects of the CT activities
- Perform reviews as lead reviewer or contributor
- As a lead reviewer, the Officer will be responsible for the review from initial planning, through execution and to final reporting
- During planning, the Testing Officer will: liaise with the Business and Product Compliance; plan the approach and methodology to be followed based on the initial scope of the planned review; lead walkthroughs to understand the processes, systems, risks and controls relevant to the review; prepare appropriate review test programmes to ensure robust challenge; prepare and deliver the opening communication announcing the start of the review; develop and send an initial deliverables listing of information necessary to complete the review to the appropriate staff; lead the opening meetings for the review (with support as necessary); prepare a project management plan for the review (using the required Project Management Tool and CT SharePoint site) setting out the key milestones and timetable for the review
- During the review execution, the Testing Officer will: ensure that the review test programme is executed as designed (whilst being mindful of the need to flex and/ or revise the testing procedures as necessary to achieve the test objective); and ensure that the Global Compliance Testing Standards are adhered to. The Testing Officer is expected to address and/or escalate potential review or project management issues to the relevant CT management, the Business and/or Product Compliance in order to enable the timely completion of the review. The Testing Officer is expected to: lead discussions to investigate any potential issues identified; to obtain agreement of the reportable issues to be included in the final report; and to facilitate the development of the remedial actions (CAPs) necessary to address these reportable issues with the CT Management, Business and Product Compliance key stakeholders. The Testing Officer will ensure that issues and remedial actions agreed with the stakeholders are clearly documented in the final report and that the work papers fully support the conclusions reached in the review
- The Testing Officer will be responsible for ensuring that key milestones are met and that the Project Management Tool and the CT SharePoint site are updated accurately and on a timely basis
- As a review contributor, the Testing Officer is expected to execute the review programme to ensure that robust challenge is provided to the Business in accordance with the Global Compliance Testing Standards. The Testing Officer is expected to escalate potential review or project management issues to the relevant CT Management, Business and/or Product Compliance staff to enable the timely completion of the review. The Testing Officer will be expected to be an active team member who will provide ideas and challenge information to ensure a robust testing review. The Testing Officer will be expected to support the Lead Reviewer to ensure that the review is delivered in accordance with the planned milestones and will be expected to assist to ensure that the Project Management Tool and CT Share Point site is updated accurately and timely
- As Lead Reviewer, the Testing Officer should be able to manage resources assigned to the review to ensure timely delivery in accordance with the plan. Where appropriate, resourcing issues should be raised to the Group Lead for resolution
- As Lead Reviewer, the Testing Officer should manage the performance of review contributors to allow for the development of their assurance skills, business specialism, project management skills and leadership skills to enable their own professional and personal development in line with their individual career aspirations. This will include delegating appropriate tasks and responsibilities and providing feedback on a timely basis
- Lead or contribute to the project management of the review to ensure timely start and completion of the reviews and to ensure that the Project Management Tool and CT Share Point site are updated for all the reviews within the Group. This includes ensuring that deliverables from the Businesses/ Product Compliance are requested and/or received on a timely basis, as well as ensuring that potential delays are identified and resolved (or escalated to the appropriate staff) as soon as practicable
- Work with the Group Leads to ensure kick off and closing meetings for reviews are planned and executed smoothly with the appropriate engagement of key stakeholders from the Business and Product Compliance
- Manage reporting of progress and escalation of issues to the Group Lead. This includes proactive management of Group Lead's and Testing Head's time to discuss potential issues prior to discussion with the business, and to allow them appropriate time to review the reports prior to issuance
- Develop, maintain and manage relationships with key stakeholders of the reviews including Product Compliance, the Business and functions. The successful candidate is expected to be able to leverage these relationships in ensuring the smooth conduct of the reviews
- Background in Audit, Controls, Risk or Compliance with an in-depth understanding of testing or audit methodology, risk and control analysis is required
- Financial services industry experience preferred
- Prior exposure to markets and banking products, processes, procedures and regulations would be beneficial
- Excellent interpersonal and team-building skills Highly organised, efficient and able to multi-task
- Strong project management and presentation skills Self Starter
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Compliance Testing Officer Resume Examples & Samples
- Lead the design and delivery of a portfolio of MSIM Compliance Tests / Reviews to monitor compliance with Regulation and internal policy. Ensure the Firm takes a risk based approach and proportionate approach to scoping tests and complete testing efficiently to make the best use of available resources. Key tasks include
- Planning and executing end-to-end regulatory Compliance testing across a range of EMEA branches, desks, businesses, themes and specific topics of focus
- Scoping and undertaking testing of third-party and other outsourced service providers to MSIM funds and regulated entities
- Managing the administration of testing results and identified issues within the Firm’s centralised tracking system from raising to resolution
- Engaging with the MSIM business and second line management at a senior level to discuss the output from testing work
- Contribute as required to broader ISG test items
- Contribute to global discussions on testing matters and sharing best practices
- Knowledge of investment management is essential. , with strong knowledge and experience of asset management compliance, with particular exposure to UK, Luxembourg and Irish funds and their governing rules
- Broad understanding of the FCA Handbooks and Regulatory approach, particularly awareness of current regulatory issues impacting the asset management sector in the UK
- Prior experience of Compliance testing would be useful, including experience of conducting branch reviews
- Prior experience of conducting reviews of outsourced functions (i.e. those activities conducted by third-party providers on behalf of funds under management), would be beneficial
- Knowledge of CASS and experience of dealing with CASS-related issues as they impact investment management would be beneficial
- Previous experience of wholesale conduct related matters
- Ability to build relationships of trust with members of the Compliance department and employees in the business unit and support & control functions
- Good analytical and numerical skills, for example reviewing trading data, looking for trends and exceptions in data
- Detail oriented and good memory skills; able to learn new concepts
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Compliance Testing Officer Resume Examples & Samples
- Perform testing to evaluate compliance with federal laws and regulations applicable to the Bank’s third party vendors and the vendor management program
- Review, evaluate and document compliance testing results before presenting to the Consumer Compliance Testing Group Manager and Compliance Testing Director
- Escalates identified issues to management, as necessary
- Discuss issues with Subject Matter Experts (SMEs) so that they are apprised of the issues, can provide guidance to the lines of business, and can provide recommendations for the implementation of corrective action in an effort to resolve identified issues
- Prepares written communications to Compliance and Line of Business management
- Key participant in the development of the risk based schedule of controls to be tested each period
- Performs special projects, testing, or special reviews, as necessary
- Other duties related to compliance as assigned by management
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Senior Compliance Testing Officer Resume Examples & Samples
- Markets – covers Equities and Fixed Income businesses
- Non-markets – covers Private Bank, Capital Markets Originations, Research, Issuer Services, Treasury and Trade Solutions as well as Citi Commercial Bank
- Prudential – covers CASS, Transaction Reporting, Depositor Protection and Corporate Compliance Group
- Plan Development
- Regulatory audit/assurance experience with CASS and other regulatory areas essential
- Financial services industry experience required
- Prior exposure to markets and banking products, processes, procedures and regulations preferred
- Experience with managing a team
- Strong project management and presentation skills
- Strategic and goal-oriented focus
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Compliance Testing Officer Resume Examples & Samples
- Lead the design and delivery of a portfolio of MSIM Compliance Tests / Reviews to monitor compliance with Regulation and internal policy. Ensure the Firm takes a risk based approach and proportionate approach to scoping tests and complete testing efficiently to make the best use of available resources
- Broad understanding of the FCA Handbooks and Regulatory approach
- Prior experience of Compliance testing would be useful
- Knowledge of some of the businesses covered by the testing team (Sales & Trading, Investment Banking, Global Capital Markets, Research)
- Excellent presentation and interpersonal skills; ability to communicate clearly and concisely both in person and in writing
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Compliance Testing Officer Resume Examples & Samples
- Must meet credit history and criminal background requirements associated with Financial Industry Regulatory Authority registration process, to include FBI fingerprint criminal history, review of credit report, civil litigation, liens, and other public records
- Broad knowledge and understanding of banking operations; broad knowledge and understanding of all facets of banking
- In-depth knowledge of CRA, including the ability to determine whether a transaction qualifies for CRA credit, identification of community development activities and knowledge of the CRA ratings matrix and its components
- Proficient skills using Microsoft Office tools
- Ability to effectively communicate (written and verbal) compliance testing results and business implications with all levels of management
- Ability to prioritize and manage multiple priorities and projects
- Demonstrated ability to meet deadlines is critical
- Professional certification or advanced degrees such as a CRCM, CPR, CBA, CPA, MBA or J.D. desired
- Ability to assess the compliance risk that identified issues may pose for the Line of Business and related processes
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CEP Compliance Testing Officer Resume Examples & Samples
- Responsible for testing applicable legal, regulatory and policy requirements across all businesses and processes of CEP (Ireland and 21 branches)
- Work on reviews both in the capacity of lead reviewer as well as participating in reviews led by other team members. Reviews are planned for the year (mandatory, thematic, targeted, ad-hoc) or may arise due to emerging regulatory or business risks
- Work on projects assigned from time to time within the CT remit
- Analyse Reportable Issues to identify trends and areas of emerging risk and communicate this analysis to internal stakeholders
- Provide support in relation to regulatory, audit or third party activities specific to CEP Compliance
- As part of the Global CT framework, the CEP CT Officer is expected to provide a strong role in promoting CEP CT’s activities, strategy and development
- The CEP CT Officer is expected to develop and maintain good working relationships with review stakeholders and Product Compliance supporting the area under review. The successful candidate is expected to be able to leverage these relationships thereby ensuring the smooth conduct of the reviews
- Significant industry experience, with a background in Compliance, Risk, Audit or Controls
- Excellent knowledge and understanding of laws and regulations applicable to an international financial institution
- Prior exposure to corporate, private or retail banking products or to markets products preferred
- A good knowledge of multiple control testing environments beneficial
- Highly organized and methodical with close attention to detail
- Proven ability to manage and facilitate work projects
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Cass Compliance Testing Officer Resume Examples & Samples
- Primarily focused on Client Asset and FCA CASS testing
- Propose methods of testing and execute plans discussed and agreed with a team leader
- Knowledge and experience of client asset processes and of FCA CASS rules
- Knowledge of Microsoft Word and Excel is a must and knowledge of Access and PowerPoint is useful
- Audit, Operational, or Compliance experience of Client Assets
- ACA qualified
- Fluency in French, Spanish, German, Italian, Japanese, Korean, or Mandarin Chinese an advantage
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AVP, Compliance Testing Officer Resume Examples & Samples
- Demonstrate working knowledge of consumer banking laws and regulations and their applicability to retail branch operations and consumer lending including but not limited to, TISA, Reg CC, Reg D, Reg E, ECOA, UDAAP, TILA
- Work in collaboration with Compliance Subject Matter Experts, Business Compliance Officers and other stakeholders in various phases of compliance testing, including planning, notification, fieldwork, escalation, reporting and follow-up
- Bachelor's degree (preferably in business, finance or equivalent)
- Good knowledge of the laws and regulations applicable to CIT’s consumer banking business, including deposit operations and consumer lending
- In-depth knowledge and experience of branch banking operations, retail banking and/or retail administration management
- Knowledge and experience in the functions and processes within the mortgage lending and servicing fields (preferred)
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Compliance Testing Officer x Resume Examples & Samples
- Significant experience in Compliance Testing or Internal/External Audit
- Ability to evaluate and interpret information and reach logical fact-based conclusions
- Strong ability to manage team priorities to meet deadlines
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Senior Compliance Testing Officer Resume Examples & Samples
- Experienced compliance professional with a strong understanding of Anti-Money laundering regulations, and their application to financial services businesses (substantial managerial experience)
- Experience interacting with regulators and Senior Citi Leadership
- Ability to gain an understanding of Corporate and product-specific policies/control environment, as well as key regulatory requirements
- Strong team player with demonstrated ability to influence and collaborate with peers and business leaders
- Experience in dealing with cross-border and international business strategic direction and standards for Consumer-focused banking, lending, investments and insurance products globally
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Compliance Testing Officer Resume Examples & Samples
- Gather data, perform analyses, and document results
- Excellent interview, presentation, and written communication skills
- Excellent time management and analytical skills
- Deep understanding of the products offered by the Foreign Exchange, Interest Rates, Commodities or Credit Markets trading desks
- Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications would be useful)
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Compliance Testing Officer Resume Examples & Samples
- Assist with the design and delivery of a portfolio of Compliance Tests / Reviews to monitor compliance with Regulations and Morgan Stanley Policies and Procedures. Ensure the Firm takes a risk based approach and proportionate approach to scoping tests and complete testing efficiently to make the best use of available resources
- Assist the oversight of tests completed by non UK EMEA Testing teams
- Knowledge of some of the businesses covered by the testing team and the relationship and regulatory risks associated with interaction between public and private side teams
- Enthusiasm and aspiration to learn and develop
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Senior Compliance Testing Officer Resume Examples & Samples
- Establish, design, and execute regulatory compliance testing of small business and commercial lending-oriented regulations
- Work with the Line of Business as well as the Compliance Manager to ensure all rules applicable to the line of business and the products supported are identified so that testing universe can be defined
- Evaluate and make recommendations for establishing testing priorities and approach based off of the testing universe
- Executes, organize and prioritize testing in a timely manner ensuring deliverables are achieved while maintaining accuracy
- Develop and document detailed testing scripts covering testing of controls evaluations and testing of transactions to assess adherence to compliance rules
- Prepare testing scope, workpapers, and reports capturing final results of testing
- Work closely with other Sr. Compliance Testing Officers and Testing Manager to ensure consistency among execution of testing and interpretation of rules
- Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s) and ensure testing scripts reflect such changes
- Prepare and potentially present reports to management regarding status of compliance testing in areas of compliance focus
- 5-7 years of experience within financial services industry preferred with emphasis on regulatory requirements. Comprehensive knowledge of federal lending regulations for small business and commercial lending
- Preferred experience with rules such as ECOA (Reg B), FDPA regulations and National Flood Insurance Program requirements, Anti-tying, HMDA, FCRA, and Community Reinvestment Act
- Minimum of 3 years of experience executing testing efforts or exposure to audit, quality control or quality management functions and results
- Strong testing/audit background related to regulatory compliance rules
- Experience in lending activities for small business and commercial lines of business, performing testing, quality control/assurance processes or internal/external audits
- Strong time management, interpersonal, communication, and leadership skills
- Ability to establish credibility and strong partnership with management and peers
- Ability to work autonomously and initiate and prioritize own work
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Senior Compliance Testing Officer Resume Examples & Samples
- Coordinates, performs and documents testing to evaluate the bank’s compliance program’s adherence to policies, procedures, state and federal laws and regulations. Identifies compliance controls and develops strategies to ensure appropriate testing of controls. Monitors remediation activities of identified issues, escalation of past-due items
- In-depth knowledge of compliance, fiduciary, securities, and/or investment advisory related regulations included but not limited to the following: BSA/AML; Reg AA—Unfair, Deceptive, Abusive Acts and Practices; Reg B—Equal Credit Opportunity Act; The Fair Housing Act; Reg C—Home Mortgage Disclosure Act; Reg V—Fair Credit Reporting Act; Reg P—Privacy of Consumer Financial Information; Reg BB—Community Reinvestment Act; Reg Z—Truth In Lending Act; Reg X—Real Estate Settlement Procedures Act; Reg DD—Truth In Savings Act; Reg F—Fair Debt Collections Practices Act; Reg CC—Expedited Funds Availability Act; 12 CFR 9, 12 CFR 12, Trust Indenture Act, ERISA, Transfer Agent Rules; Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA and Municipal Securities Rulemaking Board
- Comprehensive knowledge and understanding of banking operations; broad knowledge and understanding of all facets of banking
- Strong knowledge of federally recognized examination procedures to evaluate compliance with consumer related laws and regulations
- Comprehensive knowledge and understanding of banking and securities operations
- Comprehensive knowledge of federally recognized examination procedures to evaluate compliance with related laws and regulations
- Excellent analytical ability and organizational skills
- Advanced PC and software skills (spreadsheet, data base, and report writing software packages)
- Excellent leadership ability and team building skills
- Ability to interact with line of business representatives to ensure that results are understood and recommendations are implemented
- Ability to prioritize and multi-task, and demonstrated ability to meet deadlines
