The Custom Group of Companies ยท 1 day ago
Compliance Tester
Iselin, NJ
Contract
Onsite
Senior Level
5+ years expThe Custom Group of Companies is seeking a Compliance Tester to assist in reporting and conducting compliance testing reviews. The role involves collaborating across departments to develop monitoring standards and applying remediation to compliance risks identified during testing.
ConsultingHuman ResourcesLegalStaffing Agency
Responsibilities
Assist the Director of Monitoring in Testing with reporting related to the Compliance Testing Plan and its results
Work independently with Director oversight to conduct and deliver Compliance Testing reviews on the plan in a timely manner and with an appropriate standard of quality
Assist the team in tracking and validating corrective action plans
Work across departments to develop a monitoring inventory and monitoring standards, identifying gaps and creating project plans where needed
Apply practical, proportionate and sustainable remediation to compliance risk and conduct issues identified in the course of monitoring and testing
Assess optimal technology solutions for conducting testing reviews, creating the monitoring inventory, and implementing monitoring standards
Qualification
Required
Proficient in writing clear, concise testing reports
Understanding of industry practices and disciplines ideally having implemented and/or developed second line compliance monitoring and testing frameworks in the past
Excellent written and verbal communication and stakeholder management skills at all levels of the organization
Proficient engagement, influencing and negotiating skills
Proficient in investigative and analytical thinking
Ability to convert high level strategy and goals into operational plans
Strong control and risk management mindset
Minimum bachelor's degree
5-7 years experience of compliance testing / monitoring / auditing / risk management
Advanced proficiency in Microsoft Office (i.e., Word, Excel, PowerPoint) and SharePoint required
Experience in executing annual monitoring and testing plans
Preferred
Postgraduate degree (e.g., JD, MBA) or compliance / testing / audit certifications
Regulatory experience
Familiarity with Governance, Risk & Compliance (GRC) tools (e.g., Archer)
Knowledge of a financial market utility or FMU regulatory environment, key legislative requirements and practical implications
Experience interfacing with regulators
Familiarity with corporate compliance programs and standards relative to Client SR 08-8
Company
The Custom Group of Companies
For over 30 years, The Custom Group of Companies has been a leader in the recruitment industry, providing temporary/consulting, direct hire, and executive search services throughout New York.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Andrew Norton
Managing Director/Partner
Company data provided by crunchbase