Controls Testing Compliance Manager

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Key Responsibilities:

• Design, implement, and manage a comprehensive control testing program to evaluate the effectiveness of compliance controls across various compliance functions (e.g., anti-money laundering, consumer protection, data privacy, etc.).

• Develop detailed testing plans, including scope, objectives, methodologies, and timelines, to assess the adequacy of controls in meeting regulatory and internal standards.

• Conduct independent testing of controls, including sample selection, data analysis, and documentation of findings, ensuring consistency and accuracy.

• Identify gaps, weaknesses, or deficiencies in compliance controls and provide actionable recommendations to strengthen processes and mitigate risks.

• Prepare and present clear, concise reports on testing results, including observations, exceptions, and remediation plans, to senior management and relevant stakeholders.

• Partner with compliance, risk, audit, and business unit teams to ensure alignment on control objectives and facilitate remediation efforts.

• Issue Tracking: Monitor and follow up on identified issues to ensure timely resolution and validate remediation efforts through re-testing.

Qualifications:

• Bachelor’s degree in Finance, Business Administration, Accounting, or a related field. Advanced degree or certifications (e.g., CRCM, CAMS) preferred.

• Minimum of 7 years of experience in compliance, risk management, internal audit, or control testing within a banking, financial services or fintech environment.

• Proficiency in control testing methodologies, risk assessment frameworks, and data analysis tools (e.g., Excel, SQL, or similar). 

• Strong understanding of financial regulations (e.g., BSA/AML, Reg E, GDPR) and familiarity with regulatory expectations for control testing.

• Ability to analyze complex processes, identify control gaps, and develop practical solutions.

• Excellent verbal and written communication skills, with the ability to present findings to senior leadership and regulators if needed.

• Proven ability to manage projects, lead teams, and collaborate across departments in a fast-paced environment.