Randstad Technologies is hiring and we're looking for someone like YOU to join our team! If you are seeking a new opportunity, looking to grow in your career, or you know someone who is - we want to hear from you! Take a look at the below opportunity, or feel free to visit RandstadUSA.com to view...
location: Charlotte, North Carolina
job type: Contract
salary: $43.60 - 44.25 per hour
work hours: 8am to 5pm
Compliance Sr Associate: Required Qualifications: 5+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management
The Compliance team is responsible for establishing, implementing and maintaining risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and/or Corporate Policy requirements. As part of the Independent Risk Management function, Compliance oversees the Front Line's execution and challenges appropriately on compliance related decisions. Provides oversight and monitoring of risk-based compliance programs. May be involved in developing and overseeing standards. Provides subject matter expertise with comprehensive knowledge of business and functional area. Provides compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area. Works with fairly complex business units, rules and regulations on moderate risk compliance matters. Monitors reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management. Provides direction to the business on developing corrective action plans and effectively managing regulatory change. Reports findings and makes recommendations to risk officers or management and to appropriate committees. Consults and implements initiatives with moderate to high risk. Internal interface with business regarding risk management. Limited to no external interaction. Does not manage other team members.
Day to Day: The Senior Associate - Compliance Quality Assurance will be an individual contributor on the Compliance Quality Assurance team. Similar to Audit testing, the Quality Assurance team will perform testing of the quality of design and execution for Compliance processes, controls, milestones, etc. The Senior Associate will support the execution of a testing program within the Compliance Quality Assurance program. The Senior Associate will be expected to apply a consistent and repeatable process whereby they engage with process owners to understand a process and associated controls, design custom test scripts for that process, execute and document high-quality testing (to include employing a sampling strategy), and report on the findings. The Senior Associate will be expected to document all findings and communicate and defend the reason for the findings when appropriate. This role may be expected to engage and communicate with senior Compliance leaders, so excellent verbal and written communications will be a routine part of this role. The Quality Assurance testing team will provide the Chief Compliance Officer a view into the quality of execution (i.e. timeliness, data quality, policy/process adherence, etc.) of Compliance Processes and controls supporting the Compliance Program. This role will be more end to end execution based in comparison to the Compliance Officer role.
Must Have: QA review/audit/testing experiences as it relates to compliance processes and procedures. Attention to detail and communication skills.
Nice to have: Six Sigma and/or CPA certification
- Experience level: Experienced
- Minimum 5 years of experience
- Education: Bachelors
- risk management
- Process Control
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.