Compliance Specialist

Job Description:

Job Title Controls Testing & Assurance (CT&A) – Technology Testing

Corporate Title Assistant Vice President

Location Jacksonville

Overview

The Controls Testing & Assurance (CT&A) department is a global function of DThe Bank. CT&A focuses on the Compliance and Financial Crime risks and related regulatory requirements, which are critical for the Bank, providing feedback on the adequacy of related controls in The Bank's business areas and control functions. Within CT&A, the Technology Testing Team conducts testing on the design and operating effectiveness of the Information Technology (IT) elements of controls that manage Compliance and Financial Crime Risks. The Technology Testing Team is a global function with positions located in Singapore, Bangalore, Frankfurt and New York.

What We Offer You

• A diverse and inclusive environment that embraces change, innovation, and collaboration
• A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
• Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
• Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
• Educational resources, matching gift and volunteer programs

What You’ll Do

• Support planning and execution of technology control testing projects across all areas of CT&A under the direction of the Head of CT&A Technology Testing. Contribute to the development of a review work plan based on the results of the annual risk assessment, in consultation with the Head of CT&A Technology Testing and other key stakeholders in CT&A
• Consider regulatory and internal firm policy requirements as well as established best practices for technology control testing
• Identify risks related to IT elements of controls that manage Compliance and Financial Crime Risks, determine the root cause of issues and develop effective remediation plans to mitigate the risks and escalate potential issues and exception items noted during the review process to senior management for discussion and further investigation if deemed necessary
• Support preparation of reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period
• Ensure that all findings and recommendations are entered into CT&A’s issue tracker for tracking purposes and perform required follow-up of open issues to ensure proper resolution
• Build and maintain solid working relationships with key stakeholders such as within the Technology Testing Team, the wider CT&A (e.g., business testing teams), Compliance, AFC, Business Divisional Control Officers, Technology, Data and Innovation Group (TDI) and Group Audit

Skills You’ll Need

• University degree preferably in Computer Science, Mathematics, Engineering or a related subject or equivalent qualification in the areas of information security. Experience in project management or process-/quality management. Professional/industry recognized qualifications e.g. CISA, CISSP, CISM, CRISC are beneficial
• Good knowledge of auditing IT application controls, e.g., from IT audits or IT risk management
• Clear understanding of the relationship between IT risk and underlying business process risk
• Knowledge of regulations governing financial institutions and of Compliance and AFC topics such as embargo controls or anti-money laundering is beneficial

Skills That Will Help You Excel

• Strong written and verbal communication skills and the ability to communicate effectively in conflict situations
• Strong organizational and project management skills and attention to detail
• Ability to work under pressure, multi-task and prioritize workload
• Strong analytical skills and structured thought process with the ability to clearly articulate control deficiencies and related risk. Flexible, proactive and innovative mind set with strong organizational skills to take ownership and responsibility for agreed targets and to meet them within budget to enable a timely and efficient completion of projects

Expectations

It is the Bank’s expectation that employees hired into this role will work in the Jacksonville, FL office in accordance with the Bank’s hybrid working model.

The Bank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.

The salary range for this position in Jacksonville is $75,000 to $110,750. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration.