Compliance Analyst- Audit & Quality Control Testing/Capital Markets
Are you collaborative, resourceful and highly organized? Do you enjoy developing relationships with influential stakeholders? If yes, this could be your next opportunity!
Working with one of the top financial clients, this role calls for a Compliance Analyst- Audit & Quality Control Testing/Capital Markets who will execute the client’s process, risk and control self-assessments and refreshes. This includes identifying and recommending opportunities to automate, enhance or streamline controls.
Responsibilities:
- Execute testing of key controls within established deadlines, applying the client’s testing methodology.
- Ensure that exceptions are appropriately analyzed, reported, and tracked to resolution. Further, support client Businesses in developing action/remediation plans to address internal control gaps as well as the root cause themes.
- Support the assessment of Key Risk Indicators.
- Identify opportunities to improve processes, realize efficiencies in testing (where possible) and deliver a better testing experience to clients’ Businesses.
- Assist with ad-hoc initiatives and strategies from a risk and control perspective.
- Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings, and knowledge with the team.
Desired Skill Set:
- 2 years of experience in Control audit/testing
- 2 years of experience in Risk/Audit or Compliance
- 5 years of experience in stakeholder management/ project management
- Ability to adapt to change
- Strong communication skills
Nice To Have:
- Banking Experience
- Working knowledge of Alteryx
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