Associate Director - 2nd LOD Compliance Testing

- Contribute to the development and execution of the annual plan as part of the 3-year test plan

- To support the annual compliance testing schedule conducted by the 2nd LOD Compliance Testing, while identifying risks that could impede the scalability of testing function.

- Oversee the daily execution of operational effectiveness testing of key compliance controls identified in the compliance reviews conducted by the 2nd LOD Compliance Testing team

- Manage resources in order to meet budgeted hours and timeline dictated by the annual testing schedule.

- Coordinate with other Sr Managers to ensure review timelines are aligned

- Review the testing workpapers produced by individual testers to ensure the quality and consistency of work is in alignment with CMT testing methodology

- Clearly document the results of testing performed

- Provide recommendations to the Sr. stakeholders on program enhancements for continuous improvement

- Validate testing documentation to verify they are in line with standards

- Understand COSO 2013 standards and various auditing requirements

The Successful Applicant:

- Experience and understanding, including assessment of risks and controls, a minimum of 12+ with a financial services organization.

- Internal Audit or Risk Management related professional qualification with experience of practical application within financial services.

- Experience and understanding of policies, including Operational, Regulatory and Credit, and supporting processes and procedures.

- Understanding of the US regulatory, legal and compliance frameworks impacting the financial services industry.

- Understanding of the control environment and risk appetite of the business.

- Experience of reviewing processes, procedures and controls including evidence of compliance.

- Experience of performing assurance activities including controls testing.

- Experience of working in one of the three lines of defence (Pref 2nd Line of Defence) within a financial services organization.

- Financial services industry experienced preferred

- Experience at Big 4 Accounting firm preferred

- Strong leadership skills

- Knowledge of US banking laws and audit experience highly desired

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