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AVP Compliance Testing Analyst - Hybrid

  • Location: New York, NY
  • Job Type: Direct Placement
  • Ref No: 22-06262
  • Date: September 30, 2022
  • Pay: $110000.0 - $120000.0 per Year USD
  • Job title:

Job Description - AVP Compliance Testing Analyst - Hybrid

AVP Compliance Testing Analyst - Hybrid

The Compliance Controls Testing Analyst supports the bank's Compliance Testing team by executing reviews of various Bank products and functions and is responsible for performing testing on regulatory and operational compliance, as well as internal controls. The Testing Analyst delivers work papers that are well developed (clear, concise, well organized, and require minimal review) to support testing and monitoring reporting. Additionally, the incumbent interacts with various groups within the Bank including Branch Management, Internal Audit, Risk Management, Legal and Technology at varying management levels.


  • Support the Head of Compliance Testing to execute the testing /monitoring plan.
  • Assist in the execution of the testing/monitoring review cycle.
  • Create well-developed issues to document identified control weaknesses.
  • Identify and document existing controls, assess adequacy of control design, provide rationale to support conclusions; develop test plans to assess control effectiveness; execute test plans and document testing performed and testing results to allow third party review to be performed with limited outside explanation.
  • Identify control gaps by informing the Head of Compliance Testing and stakeholders about issues discovered in a timely manner; validate issues noted with stakeholders to ensure factual accuracy.
  • Craft well written issues to document control weaknesses that are identified during testing phase; develop written recommendations to assist management in creating corrective action plans; evaluate management proposed corrective action plans to ensure adequacy, timeliness and to ensure plans are fit for purpose.
  • Adhere to our compliance testing manual when performing reviews to ensure consistency.
  • Evaluate gaps in testing/monitoring schedule, testing plans, and work paper design to suggest areas for improvement.
  • Develop efficiencies in testing/monitoring plans.
  • Review departmental policies, procedures and desktop procedures to determine completeness. Identify areas for improvement.
  • Evaluate stakeholder developed remediation plans to ensure target completion date is attainable, based on management proposed timeframe, design effectiveness, sustainability, and timeliness. Review remediation efforts performed by stakeholders and ensure timely completion.
  • Perform other duties as requested.


  • Bachelor's degree required.
  • 5+ years of compliance testing/financial services experience preferred.
  • Industry related certifications such as - Certified Regulatory Compliance Manager (CRCM), Certified Fraud Examiner (CFE), Certified Public Accountant (CPA), Certified Anti Money Laundering (CAMS) preferred but not required.
  • Excellent interpersonal and communication skills (verbal + written).
  • Strong organizational skills, ability to liaise with all levels of management.
  • Proficiency in Microsoft Office suite of products (Word, Excel, PowerPoint).

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