Compliance Manager

 
Location: New Orleans, Louisiana
Posted On: 6/9/2017
Job Code: 4599 BSA
Print
Category:IT code:new HBR
 
Job Description
 
Job Description:

The Compliance Tester performs a key second line of defense role, to help ensure corporate initiatives and departmental processes across all applicable lines of business, specifically within the Volcker Compliance Testing team. The Compliance Tester III will be responsible for executing well-defined, complex risk-based compliance transaction testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable Volcker regulations and determining compliance with applicable laws and regulations including - the Volcker Rules, the Commodity Exchange Act (CEA), and CFTC regulations.

Compliance Tester will support lines of business by:

• Testing adherence to business regulatory requirements;
• Testing and investigating risk based compliance transactions;
• Managing compliance to appropriate testing and document retention guidelines.

Additional responsibilities will include (but may not be limited to):

• Guided by team leadership, execute targeted, complex transaction testing for line of business compliance requirements in alignment with team and ICTT methodology and procedures
• Suggest changes to testing or perform high risk testing as needed
• Develop test plans, continually validate and improve test design
• Manage to testing schedules to ensure all tasks and reporting are completed within established timeframes
• Obtain and analyze test data from multiple sources, following documented test plans, testing protocols and leveraging job aids as needed
• Support and initiate efforts to improve data sourcing and partner with business and IT areas to develop improved data sources
• Systematically retain documents that substantiate test results
• Establish and maintain strong relationships with Compliance Advisors and Business Areas
• Assisting in communicating results to Business Areas
• Track inspection results for ongoing analysis and trend reporting
• Assist management in the development of the inspection schedules and trend reporting

Basic Qualifications:
• At least 3 years of Volcker compliance advisory and/or testing experience
• Specific knowledge application of the Volcker Rule CEA, and CFTC regulations
• High School Diploma, GED or equivalent certification, or military experience
Category:IT  code:new
 
 
Job Requirements
 
 
Management, compliance, testing, regulations, advisory
 

Not Ready to Apply?
Contact Details
 
Recruiter
Ruchi Bhamra
 
Phone
 
E-mail Address
 
LinkedIn