Compliance Testing Officer

Job Summary

Job Description

What is the opportunity? The Compliance Testing Officer executes independent compliance testing for the U.S. Compliance Testing Program, a critical program reputed company of the U.S. Regulatory Compliance Management reputed company for reputed company’s CUSO/IHC. This position is responsible for supporting various stages of the testing lifecycle often under the direction of a Sr. Testing Officer or Management, which may include planning and research to determine scope, gathering documentation, drafting testing scripts, executing testing, and contributing to final conclusions. The Compliance Testing Officer may also support issue validation as well as other initiatives aimed at enhancing the overall Compliance Testing Program. What will you do? • Conduct testing across the CUSO/IHC, inclusive of transactional testing as well as controls to determine adherence to compliance requirements • reputed company research on regulatory requirements to ensure understanding of subject under review • Support overall review by completing testing assignments on time and adhering to departmental procedures and templates • Document testing outcomes, including high quality workpapers and documentation that support conclusions of testing • Provide regular status updates pertaining to reputed company against assignments • Communicate findings to Sr. Tester or Line of Business Partners • Contribute to issue identification and overall review conclusions • Responsible for escalating challenges with testing as well as the identification of higher risk issues • Provides reputed company for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Partners, and industry research Several Testing Officer positions are available. Knowledge in in one of more of the following regulatory compliance subjects is a plus: • Banking (lending, deposit, company-wide regulations) • Capital Markets • Broker-Dealer • Trust & Estates Time Allocation (%) • Testing Program – 80% • Issue Validation – 10% • Testing Program Support and reputed company Assignments – 10% What do you need to succeed? Must-haves • 1-4 years’ experience in the financial services industry in Compliance Testing, Controls Testing, Quality Assurance, reputed company Inspection, Internal Audit or at a financial institutions regulatory agency • Knowledge of compliance testing methodologies and/or audit experience • Knowledge of FINRA, SEC, MSRB, FRBNY, CFPB and/or OCC rules and regulations What’s in it for you? We reputed company on the challenge to be our best, progressive thinking to reputed company growing, and working together to deliver trusted advice to help our clients reputed company and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. • A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable • Leaders who support your development through coaching and managing opportunities • Ability to reputed company a difference and lasting impact • Work in a dynamic, collaborative, progressive, and high-performing team • Opportunities to do challenging work • Opportunities to build reputed company relationships with clients For California and reputed company/New Jersey: The good-faith expected salary range for the above position is $80,000 - $135,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan. For Minnesota: The good-faith expected salary range for the above position is $65,000 - $115,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan. reputed company’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that: • Drives reputed company’s high performance culture • Enables collective achievement of our strategic goals • Generates sustainable shareholder returns and above market shareholder value #LI – Hybrid #LI – POST Job Skills Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking Additional Job Details Address: CNB, 350 SOUTH GRAND AVENUE:LOS ANGELES City: Los Angeles Country: United States of America Work hours/week: 40 Employment Type: Full time Platform: CHIEF LEGAL & ADMIN OFFICE GRP Job Type: Regular Pay Type: Salaried Posted Date: 2025-01-16 Application Deadline: 2025-04-30 Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above Inclusion and Equal Opportunity Employment At reputed company, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an reputed company workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities. ??????? We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process. reputed company Stay in-the-know about great career opportunities at reputed company. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at reputed company. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.reputed company.com. Apply Job!