Senior Associate Compliance Monitoring
Posted on Jul 19, 2022 by Request Technology
Senior Associate, Compliance Monitoring
Location: Chicago, IL/Dallas, TX
This is a Hybrid role (2 days in office, 3 days remote)
*We are unable to provide sponsorship for this permanent, Full time role*
A prestigious financial company is seeking a Senior Associate Compliance Monitoring Analyst with 1-3 years of experience. This role will conduct the Compliance Testing, which will include, but not be limited to, reviewing remediation items prior to Internal Audit validation, and performing necessary design and operational assessments.
- Experience with compliance monitoring and testing
- RSM eGRC Archer experience a plus
- Bachelor's degree in Business, Finance, Accounting, or a related discipline
- 1-3 years related experience, preferably within a financial services industry
- Familiarity with internal controls, audit, and assurance practices, SOC experience a plus
- Excellent written and oral communication skills and the ability to interact with various departments to successfully collect needed information
- Possesses strong analytical and critical thinking skills with the ability to apply judgment to provide efficient and effective solutions, and to analyze all collected data to garner useful results
- Ability to prepare informative and concise reports depicting the current situation and historical trends
- Spreadsheet expertise (ie Excel)
- Documentation expertise (ie Word)
- Presentation experience (ie PowerPoint, Word, and Publisher)
- Partner with third line to understand requirements for remediated findings.
- Review remediated findings submitted by business owners prior to third line validation.
- Work with the Regulatory Compliance Advisory and Enterprise Risk Management teams to provide constructive feedback to business owners on reviewed findings.
- Identify trends in remediation gaps to highlight training or education opportunities.
- Proactively communicate with stakeholders on any findings where remediation has not been adequately addressed.
- Review policy, procedures and controls for design and operating effectiveness resulting from regulatory changes, monitoring and metrics, management request or other triggering events.
- Perform Quality Assurance reviews on the quarterly Management Self Testing of controls as needed.