Risk & Compliance Assurance and Testing, Controls/Compliance testing

We currently have requirements at different Grades/level for Compliance/Controls testing role in our Risk and Compliance team. PFB details for your reference.

Team Description:

BNYs Risk & Compliance Assurance and Testing (RCAT) team is a global, independent 2nd Line of Defense testing function that facilitates pro-active self-identification and remediation of issues, assesses design and operating effectiveness of the firms processes and controls, validates adherence to regulatory requirements as well as delivering holistic risk management to the organization. RCATs primary directive is conducting assessments of First and Second Line of Defense processes/controls to validate adherence with laws/rules/regulations and Policies/Procedures. Specifically, the team is comprised of two key pillars: Quality Assurance (covers 2LOD processes/controls) and Compliance Testing (covers 1LOD processes/controls) along with the Global Methodology & Planning team that sets the foundation for driving consistent and efficient standards & practices across RCAT and supports ongoing operations of the team. 

The Global Methodology & Planning Team (GMPT) develops and delivers clear and relevant guidance, global methodology, and training to the RCAT team while implementing other global technology, reporting and strategic initiatives. Under the direction of the Director of Global Methodology & Planning, the role will work closely with the GMPT members and RCAT leadership to develop and implement key operating processes including, but not limited to, supporting various methodology, training, reporting and technology related initiatives.

In this role, youll make an impact in the following ways: 

• Support the execution of the RCAT technology strategy and RCAT tool maintenance including, related training, business requirements development, and UAT efforts.
• Implement an ongoing, consistent and streamlined reporting program including, supporting ad-hoc reporting requests 
• Optimize and implement ongoing access management process across RCAT including, supporting ad-hoc access related requests 
• Support implementation of periodic monitoring of Key Performance Indicators (KPIs) / Key Risk Indicators (KRIs) for RCAT team
• Support implementation of ongoing quality check program within RCAT to assess the adequacy of work performed by the RCAT team and confirm adherence to Global Methodology requirements
• Drive continuous evolution of the team and identify solutions for greater efficiency including recommendations to improve effectiveness and efficiency of processes
• Contribute to and support other ad-hoc, methodology/procedures, operational, training related initiatives to achieve the strategic objectives, which includes collaborating with RCAT staff, management, and other stakeholders
• Serve as a point of contact for collaborating with the RCAT team to address queries related to operational processes that GMPT is responsible for
• Collaborate, build, and maintain effective relationships withing RCAT team, Enterprise-Wide Risk Management team, Internal Audit and Risk and Compliance professionals, as needed, to achieve objectives, implement solutions, and execute various RCAT related initiatives 

To be successful in this role, were seeking the following: 

• Testing background preferred (1st, 2nd or 3rd Line of defense testing) 
• Strong writing, communication and presentation skills
• Excellent project management skills
• Exhibits strong critical and analytical thinking skills to identify practical recommendations and challenge status quo and develop & execute efficient solutions
• Fast-paced, high-energy, change oriented and is able to work independently
• Experience in conducting training, compliance, risk management, internal audit or professional practices roles in the financial services industry is preferred
• Background and knowledge in financial services, risk management, risk and control frameworks, technology, internal audit, and/or compliance testing preferred 
• Demonstrates an understanding of process, risks and controls and testing methodology
• Background in quality assurance, quality control, compliance testing and/or professional practices preferred 
• Ability to lead and engage with different levels of management 
• Attention to detail.
• Ability to manage multiple tasks/projects, time management, organized.
• Ability to work both collaboratively and independently, if needed, and meet deadlines.
• Strong interpersonal skills to influence and impact business decisions.
• Strong research skills and working knowledge of Microsoft Office Suite.