Compliance Tester III

Description

The corporate compliance team is hiring an experienced principal associate to run risk-based compliance transaction tests under a team leader. The work independently checks whether business lines follow complaints handling procedures and the Enterprise Complaints Standard.

You will build a solid understanding of complaints requirements, carry out monitoring and testing, and reach conclusions through critical thinking, judgment and analysis. The role involves working across business partners, compliance advisors and risk managers, and working through complex, ambiguous test results on your own. Strong attention to detail and strong verbal and written communication are required, along with a real interest in risk and compliance, testing, project work and quality assurance, and the ability to challenge the businesses.

Responsibilities

• Under a team leader, run targeted transaction tests against consumer compliance requirements.
• Schedule your testing so all tasks and reports are finished on time.
• Analyze data from several sources and document your work and results in a systematic way.
• Design new methods for testing large volumes of data.
• Review transaction tests done by peers for accuracy and for adherence to test procedures.
• Build and maintain working relationships with compliance advisors and business areas as needed.
• Learn new technologies quickly and apply them to a range of initiatives.
• Help communicate results to compliance officers when needed.

Requirements

• High School Diploma, GED or equivalent certification.
• At least 3 years of experience in compliance, testing or quality assurance.
• Preferred: a Bachelor's Degree.
• Preferred: 4+ years of financial services consumer compliance monitoring experience.
• Preferred: 4+ years of consumer compliance auditing experience.
• Preferred: 4+ years of quality assurance experience.
• Preferred: experience creating presentations.
• Preferred: working knowledge of basic statistics.

Conditions

The company will not sponsor a new applicant for employment authorization for this role at this time.

Full-time annual base salary ranges by location: Plano, TX: $109,900 - $125,400 for Compliance Tester III. The range covers what the company is willing to pay when this posting is made. Candidates hired into other locations fall under that location's range, and the exact offer amount appears only in the offer letter. Part-time pay is prorated to the agreed number of regular hours.

The role may be eligible for performance-based incentive pay, such as cash bonuses and/or long-term incentives (LTI). Incentives may be discretionary or non-discretionary depending on the plan.

Applications will be accepted for at least 5 business days.

No agencies. The company is an equal opportunity employer (including disability and veteran status) and does not discriminate in line with applicable laws. It is a drug-free workplace and considers qualified applicants with criminal histories in line with applicable fair chance laws.

Accommodation requests for the application process go to the company Recruiting at 1-800-304-9102 or the company's site, and information shared is kept confidential.

The company Financial is made up of several entities: roles posted in Canada are for the company Canada, roles in the United Kingdom are for the company Europe, and roles in the Philippines are for the company Philippines Service Corp. (COPSSC).

Benefits

• The company offers health, financial and other benefits. Eligibility depends on full- or part-time status, exempt or non-exempt status, and management level. Details are on the company Careers website.