Job Description

As a valued contributor to our Compliance and Ethics team, you will advise on risk monitoring and reviews for the organization, coordinate risk mitigation activities, and provide risk mitigation assistance to other groups.

We have one opening for this job and it can be worked on a Hybrid basis from our Washington, DC, Reston, VA or Plano, TX office.

THE IMPACT YOU WILL MAKE

The Compliance Controls Testing Advisor role will offer you the flexibility to make each day your own, while working alongside people who care so that you can deliver on the following responsibilities:

• Lead compliance controls tests and other projects independently and produce deliverable-ready work product.
  • Lead test inquiry meetings with internal control owners.
  • Identify controls in a process and develop test plans and methodologies to perform testing.
  • Assess related policies, procedures, and job aids.
  • Select samples to be tested.
  • Collect and assess evidence of control operation.
  • Analyze and evaluate operating and design effectiveness.
  • Test processes and controls risk using rigorous analysis.
  • Analyze results and draft summary.
  • Document test results in the system of record (Archer).
  • Track identified issues through remediation.
  • Identify and escalate issues to management promptly.
• Advise on and lead strategic projects independently. Demonstrate innovative thinking to redesign processes, solve issues, or conduct analyses unconstrained by current process structure.
• Review and edit deliverables of other team members prior to management review.
• Provide guidance and support to team members on tests and projects.
• Demonstrate executive writing skills and produces deliverable-ready work products.
• Collaborate with team to evaluate and advise on the impact of compliance risks to the enterprise.
• Create, author and maintain governance documents for new processes; provide direction on substantive changes to existing governance documents. 
• Present to senior management or regulator with limited guidance.
• Advise and instruct teams and business groups on risk mitigation activities.

Qualifications

THE EXPERIENCE YOU BRING TO THE TEAM

Minimum Required Experiences

• 6 years of related experience.
• Experience in conducting controls testing (compliance, Audit, SOX, operational risk, or related function), evaluating processes, identifying controls, and analyzing operational and design effectiveness.
• Ability to test compliance controls that have not been tested previously and/or are related to unique and novel compliance risks.
• Experience preparing reports and documentation summarizing test results and findings.
• Demonstrated decision making skills and good judgment on issues, analyses or projects. Proven ability to move projects forward with limited guidance. 
• Able to work independently with stakeholders across the team and enterprise.
• Ability to spot and solve issues with limited guidance and collaboration.
• Ability to complete projects/tests efficiently with high attention to detail and excellent time management skills.
• Ability to work with people with different functional expertise respectfully and cooperatively towards a common goal.
• Experience in gathering accurate information to explain concepts and answer critical questions.
• Excellent writing and communication skills.
• Ability to present to colleagues, senior management, and regulators.
• Strong relationship management skills including managing and engaging stakeholders and building relationship networks.
• Skilled in Excel.

Desired Experiences

• 10 years of related experience.
• Master’s degree or equivalent.
• Prior experience in fair lending or UDAAP controls testing.
• Prior experience supporting training development.
• Strong influencing skills including negotiating, persuading others, facilitating meetings, and resolving conflicts.
• Ability to work collaboratively as a team member to facilitate effective enterprise-wide compliance.
• Skilled in the graphical representation of information in the form of a charts, diagrams, pictures, and dashboards with programs and tools such as Excel, Tableau, or Power BI.
• Experience using RiskWorks.
• Experience using SharePoint.
• Skilled in using Adobe Acrobat.