Partner at FIDIUS Advisory
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Compliance Monitoring & Testing Analyst - FinTech - CRCM (5-10 yrs)
As a Monitoring and Testing Analyst, this role will help to enhance and execute the company's overall Monitoring and Testing program for the compliance function. This role will impact the vision by testing the effectiveness of controls, providing valuable feedback when recognizing opportunities for improvement and identifying areas to automate monitoring to help the company mature and scale.
You will work closely with the Compliance, Product, and Operations team(s) working on monitoring and testing. This role reports to the Monitoring and Testing Manager.
- Develop, and execute testing scripts to evidence the products, services and controls compliance with applicable regulatory requirements.
- Develop risk-based scope, and coordinate with stakeholders to gather and validate data in a timely manner.
- Present findings and recommendations for improvements to senior management and critical stakeholders.
- Contribute to the planning, preparation, and socialization of an annual compliance monitoring plan, including performing compliance risk assessments in collaboration with relevant business stakeholders.
- Demonstrate strong subject matter expertise on applicable regulations, particularly relevant to the org's business activities by maintaining an up-to-date knowledge of changes in key regulatory requirements, regulatory focus and risk themes impacting regulatory compliance and conduct obligations.
- Understanding of the consumer compliance in finance or fintech sector.
- Mid Career (5-10 Years) with compliance testing or auditing experience.
- Strong analytical and organizational skills with high attention to detail and accuracy.
- Proven track record of performing regulatory or compliance reviews and targeted testing at a regulated firm, a regulator or a leading consulting firm, and/or as part of an Internal audit or other testing function.
- A strong knowledge of regulatory requirements and testing and evidencing compliance requirements using a data-driven approach.
- Excellent verbal and written communication skills with a track record of drafting high-impact and high-quality reports.
- CRCM, CIA or equivalent certification is plus.
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