Required:

• Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
• Knowledge and extensive experience with auditing principles including audit planning, risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities
• Understanding of rules, laws, and regulations, and specific regulatory requirements
• Strong interpersonal skills for building strong relationships with stakeholders and engaging teams
• Effectiveness in working within a large scale and complex matrix organization is essential
• Effective negotiation skills, a proactive and “no surprises” approach in communicating issues, and strength in sustaining independent views
• Excellent oral communication and writing skills in interacting with non-executives and executive management and across a number of business lines and control functions
• Willingness to travel
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Must be a self-starter, flexible, innovative and adaptive
  • Ability to work in a fast-paced environment and quickly adapt to change
• Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Ability to both work collaboratively and independently; ability to navigate a complex organization
  • Ability to work collaboratively and independently as part of a new, growing during a period of transformation
• Advanced analytical skills
• Ability to both work independently and collaborate with team members
  • Experience in managing small to medium size teams
• Excellent project management and organizational skills and capability to handle multiple projects at one time
  • Demonstrated experience in leading largescale, complex projects
• Proficient in MS Office applications (Excel, Word, PowerPoint)

Demonstrated knowledge in area of focus

• Experience with data analysis and/or data mining, knowledge of SAS, SQL, Microstrategy, Big Data or other analytics tools like R, Python (experience using Hadoop and Hive is a plus)
• Audit experience in testing data, data technology, data tracing, and regulatory reporting
• Experience in staff management (direct line management/team lead)
• Project management involving a number of different stakeholders

Required:

Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus