HW3 · 3 days ago
Consultant- Compliance Testing (Compliance Risk Management)
New Jersey, United States
Contract
Onsite
Senior Level
$725/d - $725/d
5+ years expHW3 is seeking an experienced Compliance Testing Consultant to support a high-impact Compliance Monitoring, Risk, and Testing function. The role involves executing compliance and risk-based testing reviews, producing testing reports, and supporting senior leadership through testing results and risk trend analysis.
RecruitingStaffing Agency
Hiring Manager
Ramone Jacobie
Responsibilities
Execute end-to-end compliance and risk-based testing reviews in alignment with the annual Compliance Testing and Risk Assessment Plan
Perform control design and operating effectiveness testing, leveraging audit and risk management methodologies
Produce clear, concise compliance and audit-style testing reports, including findings, root cause analysis, risk ratings, and actionable recommendations
Support senior leadership through testing results, risk trend analysis, issue escalation, and audit readiness reporting
Track, validate, and challenge management corrective action plans, partnering with business, risk, and audit stakeholders to drive effective and sustainable remediation
Contribute to risk assessments, control gap analysis, and issue management activities across compliance and audit functions
Qualification
Required
Proven hands-on experience in compliance testing, risk-based auditing, or compliance risk management within a regulated financial services environment
Strong ability to produce high-quality compliance and audit reports suitable for senior management, internal audit, and regulatory review
Solid understanding of second-line compliance testing frameworks, audit methodologies, risk assessment techniques, and internal control principles
Excellent analytical, risk-based judgment, communication, and stakeholder management skills
Bachelor's degree required
5–7 years of experience in compliance testing, internal audit, risk management, compliance monitoring, or regulatory assurance
Advanced proficiency in Microsoft Office
Preferred
JD, MBA, CPA, CIA, CRCM, CAMS, or similar compliance/audit/risk certifications a plus
Regulatory-facing experience preferred
Familiarity with GRC tools (e.g., Archer) a plus
Experience supporting annual compliance testing and audit plans
Knowledge of FMU regulatory environments and Federal Reserve SR 08-8 strongly advantageous
Company
HW3
HW3 is a global recruitment consultancy that offers staffing and recruitment services within regulated industries.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
$7MKey Investors
Meraki Capital
2024-07-30Series Unknown· $7M
Leadership Team
Nick Vaughan
Founder & CEO
Mark DePanfilis
Client Growth Partner
Company data provided by crunchbase