Compliance and Operations Risk Test Specialist (Technology Risk and Controls)

Job Description

If you are a detail-oriented professional with a passion for risk management and compliance, join our dynamic team in the Testing Center of Excellence to navigate complex risk landscapes while making a pivotal impact in our firm's risk strategy. As a Compliance and Operations Risk Test Specialist, your understanding of risk management and control evaluation will be instrumental in identifying and mitigating risks to enhance compliance and operational risk management. Your primary focus will be test execution with precision and accountability to ensure seamless delivery of quality outcomes aligned with the firm's highest risks. You will be responsible for assessing the control environment and identifying gaps to mitigate risk. Your analytical thinking and problem-solving skills will help break down complex business objectives into manageable tasks and activities while contributing to a cohesive and efficient testing framework.

Job summary:

As a Compliance and Operations Risk Test Specialist within the Testing Center of Excellence, you will execute testing with precision and accountability to support delivery of quality outcomes aligned with the firm's highest risks. You will assess the control environment, evaluate control design and effectiveness, and identify gaps to mitigate risk and support regulatory requirements. You will collaborate with process and control owners and cross-functional teams to plan walkthroughs, gather evidence, analyze potential issues, and support timely reporting. You will read and interpret policies, standards, and procedures to support accurate implementation of compliance requirements and strengthen control evaluation methodologies, control ratings, and metrics. You will propose and implement improvements to testing methods to enhance efficiency and effectiveness.

Job responsibilities:

• Understand and evaluate the assigned function’s control environment by assessing the adequacy, effectiveness, and design of controls to ensure risks are mitigated, meet regulatory frameworks, align with the firm’s risk priorities, and satisfy testing requirements
• Execute testing processes with precision and accountability to assess the control environment, identify gaps, and prepare robust documentation including process documents, process flows, and overview documents that support testing conclusions
• Collaborate with process and control owners and cross-functional teams on the testing schedule, obtain walkthroughs of processes, document process changes, gather evidence, analyze potential issues, and facilitate timely reporting
• Lead walkthroughs and other meetings with business owners, fostering collaboration across engagements with minimal oversight
• Read and interpret policies, standards, and procedures to support accurate implementation of compliance requirements while continuously improving control evaluation methodologies and interpreting control ratings and metrics
• Propose and implement improvements to current testing methods, contributing to the overall efficiency and effectiveness of the firm’s risk management

Required qualifications, capabilities, and skills :

• Qualified graduate with minimum of 2 years of work experience in technology and cybersecurity controls testing, audit, or operational risk management within a risk and control environment
• Fair and broad understanding of cybersecurity and technology associated risks
• Fair understanding of areas such as identity and access management, data protection, software development, governance, risk, and compliance, technology resiliency, and networking
• Strong analytical thinking and problem-solving skills, particularly in analyzing large data sets to identify exceptions or patterns and evaluating situations to identify key information
• Strong ability to build partnerships with key stakeholders and collaborate with business and functional experts to recognize risks and gaps
• Excellent organizational and time management skills with the ability to remain flexible and productive through shifting priorities and deadlines
• Excellent written and verbal communication skills with an ability to influence business leaders in a meaningful and actionable manner
• Demonstrated expertise in Microsoft Office applications, with advanced skills in Excel, Word, and PowerPoint highly recommended

Preferred qualifications, capabilities, and skills :

• ISO 270001 Auditor/CRISC certification desirable
• Audit and control testing background/experience
• Comfortable using intelligent solutions like Alteryx and Tableau to support testing activities or metrics reporting
• Ability to innovate, challenge the status quo, and identify automation opportunities