Compliance Tester
Typical Day in Role
• Working with Legal and Compliance to define requirements
• Verify testing methods meet compliance standards and industry regulations
• Create and organize documents related to compliance testing
• Test controls to evaluate the effectiveness of a system or design during its operation
• Schedule regular compliance assessments to meet requirements
• Create action plans based on testing outcomes
Candidate Requirements/Must Have Skills:
• 4+ years experience as a Compliance Testing or Internal Audit tester related field with experience testing US regulations
• Previous experience with data testing and Record of business analysis with experience in requirements gathering, BRD writing and requirements testing (experience in creating test strategies and test plans) in the derivatives/securities regulatory space
• Ability to analyze/interpret test results and provide recommendations to improve testing
• Knowledge of US regulations (FINRA, Government security dealer, etc) or other securities regulations impacting capital markets
Nice-To-Have Skills:
• Power BI is a plus
• Python is a plus
• SQL is a plus
• JIRA or confluence is a plus
Soft Skills
• Excellent analytical skills with high attention to detail (Must be able to create and maintain testing evidence for traceability, document all key decisions)
• Ability to multitask and manage conflicting priorities
• Excellent inter-personal and communication skills: must be able to communicate and manage relationships across various levels of seniority
• Self-starter and proactive
• Strong presentation skills
Education
• Bachelor’s degree or relevant work experience required