Controls, Monitoring and Testing Generalist (W2 and ...

A client of Sharp Decisions Inc. is looking to bring on a Controls, Monitoring and Testing Generalist to be based in New York, NY. Position will start off remote, but resource needs to be local to office for when they return. This is an internal audit type role focused on US regulations. Individual need to have controls background and experience with audit and controls and a good idea of how it works in that role. This role covers markets and retail bank. Position is on a 6-month contract to start with possible extension. *W2 and Local only.JOB DESCRIPTION:As a Compliance Assurance Manager you will participate as a tester on multiple Compliance Assurance (CA) testing reviews, as directed by CA management. Assist with the detection of issues and observations, reports, and follows up on regulatory issues that arise. Assures compliance with internal policies and procedures and with laws and regulations applicable to HNAHs banking and brokerage activities in the U.S. Primary focus on control activities (e.g., first line of defense compliance monitoring functions) of the Banking businesses (i.e., Retail, Commercial, Private Banking), and in related support activities (e.g. Risk Management, IT, MIS, Operations). Secondary focus of the role is testing the control activities conducted in mitigation of financial crime dividual will be sitting with a specific testing team based on the place they are assigned, there are daily and weekly huddles based on the team they are on. Reviews start with planning and scoping of projects, such as the needs and regulations, then operational effectiveness controls, and then true testing takes place. Very similar to external audit work. There will be regular touch point calls with the lead. Everything goes through lead manager so these resources will take direction from the leads.They can work on the alphabet soup reviews, broker dealer, swap dealer, etc. willing to see financial crimes experience, remediation big file cleanup work.TOP must-have skills (Measurable skills, technologies, etc.)1. Awareness of regulations for business lines in the financial institutions depending on area2. Developed understanding of regulations and how they apply to the business.3. Proficiency with personal computers and pertinent mainframe systems and software packages (Microsoft Outlook, Word, Excel, Etc).4. Depending on the role, required professional certification may include: CAMS, CANNON Trust, CISA, CRCM, CCRP, CIA, CFSA, CPA, etc. Incumbent should be prepared to seek additional certifications as the team expands its assurance efforts into other non-financial risks.5. Strong verbal, interpersonal, and communication skills with particular focus on excellent business writing (clear and concise) as well as presentation skills.6. Some U.S. domestic travel may be required in relation to individual assigned reviews and industry conferences.REQUIREMENTS:2-5 years of experience in financial spaceBachelors or Master''s degree in business, finance, or related field, with 5 years related experience proven and progressive financial services audit, operations and/or compliance management experience in compliance testing or equivalent. - provided by Dice

Created: 2024-10-19