Compliance Testing Analyst II

Overview:

The Compliance Testing Analyst II is responsible for assisting in the execution of compliance testing engagements utilizing a risk-based approach to deliver a quality product in line with department standards to ensure the Bank’s compliance with applicable laws, rules, and regulations.  Will assist in ongoing risk assessment, control identification, and testing execution of their applicable compliance portfolio. Provides the opportunity to gain an understanding of M&T’s businesses, support functions, and internal control framework.

Position Responsibilities:

• Interface with several layers of the organization under minimal direction of a supervisor to obtain information related to processes and controls.
• Perform compliance testing in accordance with department and professional standards.
• Specific compliance testing responsibilities include the planning and execution of control and substantive testing, assistance in the review of testing, and evaluating results to determine if control weaknesses or testing exceptions exist.
• Organize and complete work within established timeframes under minimal direction of a supervisor, periodically providing updates of completion status.
• Participate in collaborative testing team discussions with all levels of management where judgment and opinions are effectively challenged.
• Serve as a resource to junior members of the compliance team.
• Review test findings with testing management and other compliance officers to confirm validity of issues.
• Maintain a working knowledge of regulatory requirements to perform an appropriate level of testing.
• Assess business unit process and controls under minimal direction of a supervisor, and provide risk focused input on effectiveness and efficiency of testing approach.
• Independently document higher level complexity test scripts.
• Participate in special projects, as necessary.
• Multitask assignments and meet established deadlines.
• Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies.
• Understand and adhere to the Company’s risk and regulatory standards, policies and controls in accordance with the Company’s Risk Appetite.  Identify risk-related findings needing escalation to management.
• Promote an environment that supports diversity and reflects the M&T Bank brand.
• Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
• Complete other related duties as assigned.

Nature and Scope:

The position works under minimal supervision of the Compliance Testing Manager and is required to exercise independent judgment and discretion utilizing a risk based approach.

The position has substantial contact with cross functional testing teams and internal business units throughout the enterprise.

Supervisory Responsibilities:

None.

Education/Experience Required:

• Bachelor’s degree in a business related curriculum and a minimum 2 years' relevant work experience (Compliance, Audit or Risk Management), OR, in lieu of a degree a combined minimum of 6 years’ higher education and/or work experience including 2 years’ relevant work experience .
• Fundamental understanding of financial services functions.
• Ability to thrive in a collaborative, team-oriented environment.
• Strong interpersonal skills, having the ability to effectively communicate both orally and in writing.
• Strong organizational and analytical skills.
• Possess regulatory knowledge related to aspects of the portfolio.
• Proficiency with personal computers as well as pertinent software packages.

Education/Experience Preferred:

• BSA, Deposits, and Retail experience, as well as other areas of Banking Services

• Related certifications (CPA, CIA, CISA, CAMS, CRCM or similar)
• MBA or Master's Degree in an appropriate field
• Financial Services industry experience preferred.

M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $60,890.34 - $101,483.90 Annual (USD). The successful candidate’s particular combination of knowledge, skills, and experience will inform their specific compensation. The range listed above corresponds to our national pay range for this role. The specific pay range applicable to you may vary based on your location.

Location

Clanton, Alabama, United States of America