Sr Controls Analyst, Compliance

  • location: Charlotte, NC
  • type: Temp to Perm
  • salary: $45 - $58 per hour
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job description

Sr Controls Analyst, Compliance

job summary:
Randstad Technologies is partnering with a large bank to find a seasoned Sr Controls Analyst. This role requires partnership with the Compliance team and their partners to plan and execute programs and processes to support Business Process Management, the execution and implementation of Compliance programs and initiatives ensuring adherence to appropriate policies, procedures and regulations.

location: Charlotte, North Carolina
job type: Contract
salary: $45 - 58 per hour
work hours: 8am to 5pm
education: Bachelors
  • Primarily responsible for the day-to-day management and coordination of and participation in Compliance's credible challenge of compliance risks and controls in business processes impacting the Front Line businesses for effective Compliance risk oversight including:

    • Completeness of process activities with compliance risk
    • Identification and placement of Major Compliance Risks (MCRs) on the process models and Business Specific Risk Descriptions
    • Identification and placement of controls and Business Specific Control Descriptions
    • Control description, specifically does the control description as written address the risk
  • Identification of Compliance resources (by process) for participation in the sprint; sprint schedule with Financial Crimes Risk Management (FCRM)/Conduct contacts to confirm accurate identification of resources.
  • Attendance and participation kick off/other pre-sprint and sprint meetings to discuss process
  • Consult and advise to assist in preliminary alignment of MCRs to processes
  • Discuss the completeness of process activities (activities with compliance risk are included in the process narrative)
  • Provide initial sign-off on reasonable completeness of MCRs within a defined SLA
  • Provide alternative view and opinion as the process is modelled
  • Review final versions of the process model/Integrated Process, Risk and Control (IPRC) document and sign off on reasonable completeness of compliance risk
  • Escalate items that raised during credible challenge but remain unresolved to line of business CCO and Control Executive for resolution
  • Document and maintain evidence for the completion of Compliance Credible Challenge
  • Perform progress reporting to Compliance Leadership
  • 5+ years of testing controls and implementing
  • Hands on Audit experience where you were responsible of Audit's review of controls or SOX experience with process flow-charting/testing controls
  • Direct experience credibly challenging controls, ability to give precise examples
  • Proficient within Excel, (Macros, Pivot Tables and V-Lookups)
  • Articulate with the ability to convey findings to upper level management
  • Must have Bachelors Degree
Please apply ASAP if you meet the requirements of this role!

skills: The right candidate will have great verbal and written communication skills with a background in fin-tech or banking. Must be analytical and curious to test Controls with deep findings.

Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

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