QA Analyst / Risk and Controls Tester (controls, compliance, & testing) (original) (raw)

VP - QA Analyst / Risk and Controls Tester / Enterprise Workforce Management Controls Testing
Jacksonville, FL or Irving, TX

The Quality Assurance Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family.

Responsibilities:
• Support teams in the quality, completeness, and accuracy of the implementation of the Control Framework, including Risk Control Policy, Control Standard, Issue Management Policy, Lesson Learned Policy and Control Inventory.
• Help contribute to the Lessons Learned Policy, including monitoring of control breaches and dissemination and learnings across other business units for process improvement to limit the occurrence of similar future events and where similar risk exposure might exist.
• Support the review and challenge process, within the FLUs, on the effective design and management of controls to mitigate risks as required by the Control Standards, including implementation and operation, conducting the control monitoring, handling deficiencies, and escalating issues for resolution.
• Help contribute to the timeliness, accuracy and completeness of the MCA through controls prior to the execution of a process (QC).
• Assist in the monitoring of the adherence to the MCA Standard through controls after the execution of a process (QA).
• Be part of the process to identify, assess, record and response to Operational and Compliance Risk events, ensuring these are captured accurately, timely and in accordance with requirements.
• Coordinate risk and control responsibilities and ensure accountabilities are embedded within FLUs, including providing training and leading by example.
• Support with standards and procedures that conform to enterprise requirements and support sound operational and compliance risk management.
• Apply knowledge of the business, products or services to identify and implement control points and processes throughout the business.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Banking, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behaviour, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:
• 5 years of experience.
• MS Excel, MS Access, SAS, SQL, Visual Basic a plus. 5 years' experience in financial services.
• Consistently demonstrates clear and concise written and verbal communication skills
• Effective organizational influencing skills required.
• Third party vendor management preferred. Demonstrated ability to lead global team efforts
• Excellent problem-solving skills Ability to see the big pictures with high attention to critical details
• Demonstrated ability to develop and implement strategy and process improvement initiatives.

Education:
• Bachelor's/University degree, Master's degree preferred.