Quality Compliance Analyst

Company: Corporate Investment Bank

Position: Quality Control Analyst (Monitoring and testing)

Address: Newark, DE 19711-5466 (FULLY ONSITE)

Hours: Mon-Fri 9am-5pm EST

DESCRIPTION

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.

RESPONSIBILITIES

• Quality Assurance tests that the execution of the Monitoring and Testing Program in line with the firm’s Testing Standards and Procedures.
• Establish comprehensive test plans.
• Partnership with Monitoring & Testing, Operational Risk and Compliance managers, and business stakeholders. Involvement in departmental projects particularly in relation to the development of the development of the Annual Monitoring and Testing Plan
• Work with global testing partners to support global monitoring and testing assignments as directed.
• Perform ongoing QA reviews of the Compliance functions mentioned, to ensure controls/standards are met
• Question and investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made
• Review quality of completed work, based on Firmwide standards.
• Identify key issues, trends, observations and effectively report summary results to key stakeholders. Ensure consistency with the Global QA framework and governance approach

QUALIFICATIONS

• 3 years of experience in the Financial Services industry in Operations, Compliance, Risk Management, and/or Audit.
• Demonstrated experience and understanding of Operational Workflow, Process Flow (understanding when systems break down), Quality Assurance (not IT), or Audit.
• Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner. This includes strong analytical skills particularly in regard to assessing the risks associated with execution deficiencies.
• Relevant Operational Risk Management or Compliance experience, alternatively other related experience such as audit, operations or business control management, or similar.
• An understanding of operational risks and their drivers and be able to challenge the design and effectiveness of the associated business controls.
• Ability to perform end to end reviews of processes, think through various risks, understand applicability of different regulations and policies and ultimately be able to identify gaps / risks in operating environment.
• Good analytical skills, attention to detail and be able to demonstrate a good knowledge of control design and root cause analysis.
• Bachelor’s degree in one or a combination of the following: Finance, Accounting, Analytics, or Reporting.

Soft Skills:

• Strong relationship building skills to influence/negotiate desired outcomes.
• Excellent interpersonal skills necessary to work effectively with colleagues and senior management. Strong verbal/written communication.
• Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business partners.

INTERVIEW PROCESS

Video interview

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status