Compliance Analyst Monitoring Testing
## In this role you will:
Own, plan, and execute quality assigned regulatory compliance monitoring and testing activities under minimal supervision.
Execute assigned monitoring and testing activities in accordance with established monitoring and testing procedures.
Obtain information needed for monitoring and testing purposes, develop testing workbooks, and document all work performed in a detailed and repeatable manner.
Assess adherence with applicable regulatory obligations, policies, and procedures.
Perform control testing of policies, procedures, processes; perform transactional testing.
Schedule, plan, and facilitate meetings related to assigned monitoring and testing activities, e.g., kickoff, walkthrough, exit meetings.
Analyze information/data needed for monitoring and testing purposes, document details of the testing performed, identify root causes, and prepare written reports that summarize the scope of each test, findings, and recommendations.
Communicate our compliance framework and Compliance Monitoring and Testing Program requirements to all relevant internal and external stakeholders.
Engage cross-functionally (with groups such as other Compliance teams, Engineering, Legal, Product, Risk, etc.) to cultivate effective business relationships and promote a culture of compliance.
Document and track findings and recommendations.
Follow up on the status of open action plans and validate the implementation of remediation plans submitted by issue owners verifying issues identified during testing have been remediated.
Gain familiarity with assigned area(s) of responsibility. This includes, but is not limited to, internal controls and organizational structures.
Keep abreast of industry trends and best practices.
Assist with other related duties as needed.
## What We Look For in You:
2-3+ years of experience in a second line of defense testing or auditing environment.
Working knowledge of regulations governing financial services, FinTech or cryptocurrency industries.
Ability to plan and execute multiple regulatory compliance tests (under minimal supervision) at the same time and meet deadlines.
Self-motivated, critical thinker and adept at working independently and in a globally dispersed team environment covering multiple and varied tasks.
Excellent analytical skills and the ability to document and organize information in a repeatable manner.
Knowledge and understanding of financial services regulations, compliance, policies, process, and procedures.
Effective communication and presentation skills and ability to interact and lead discussions comfortably with internal and external stakeholders.
Intuitive, highly ethical and comfortable to question and challenge.
Bachelor's degree or equivalent practical experience
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Own, plan, and execute quality assigned regulatory compliance monitoring and testing activities under minimal supervision.
Execute assigned monitoring and testing activities in accordance with established monitoring and testing procedures.
Obtain information needed for monitoring and testing purposes, develop testing workbooks, and document all work performed in a detailed and repeatable manner.
Assess adherence with applicable regulatory obligations, policies, and procedures.
Perform control testing of policies, procedures, processes; perform transactional testing.
Schedule, plan, and facilitate meetings related to assigned monitoring and testing activities, e.g., kickoff, walkthrough, exit meetings.
Analyze information/data needed for monitoring and testing purposes, document details of the testing performed, identify root causes, and prepare written reports that summarize the scope of each test, findings, and recommendations.
Communicate our compliance framework and Compliance Monitoring and Testing Program requirements to all relevant internal and external stakeholders.
Engage cross-functionally (with groups such as other Compliance teams, Engineering, Legal, Product, Risk, etc.) to cultivate effective business relationships and promote a culture of compliance.
Document and track findings and recommendations.
Follow up on the status of open action plans and validate the implementation of remediation plans submitted by issue owners verifying issues identified during testing have been remediated.
Gain familiarity with assigned area(s) of responsibility. This includes, but is not limited to, internal controls and organizational structures.
Keep abreast of industry trends and best practices.
Assist with other related duties as needed.
## What We Look For in You:
2-3+ years of experience in a second line of defense testing or auditing environment.
Working knowledge of regulations governing financial services, FinTech or cryptocurrency industries.
Ability to plan and execute multiple regulatory compliance tests (under minimal supervision) at the same time and meet deadlines.
Self-motivated, critical thinker and adept at working independently and in a globally dispersed team environment covering multiple and varied tasks.
Excellent analytical skills and the ability to document and organize information in a repeatable manner.
Knowledge and understanding of financial services regulations, compliance, policies, process, and procedures.
Effective communication and presentation skills and ability to interact and lead discussions comfortably with internal and external stakeholders.
Intuitive, highly ethical and comfortable to question and challenge.
Bachelor's degree or equivalent practical experience
Apply tot his job
Apply To this Job