Audit and Compliance Tester

$128,960 - $137,280/Yr

Motion Recruitment - Tampa, FL

Full-time - Mid Level

Tampa, FL

Administrative and Support Services

About the position

The Audit and Compliance Tester role at Motion Recruitment Partners involves working with a global bank in Tampa, Florida, focusing on audit, compliance, and risk management. This contract position requires a hybrid work schedule, with 2-3 days onsite per week. The successful candidate will lead testing strategies, engage with stakeholders, and assist with regulatory compliance initiatives, ensuring effective control environments and adherence to banking regulations.

Responsibilities

• Utilize a high-touch approach to partner with HR stakeholders on the execution of the QC program under Consent Order-related deliverables.
• Perform and deliver risk assessment results, including business metrics that provide line of sight to business control performance.
• Develop and execute a QC testing strategy for the assigned milestones related to the assessment of control design and operating effectiveness.
• Analyze controls identified by the responsible business units for compliance with the company's Control Standards.
• Review applicable artifacts provided by the business units to ensure they support the milestone deliverables.
• Confirm key controls are supported by HR desktop procedures and/or process flows which contain sufficient details for consistent performance of recurring activities.
• Guide HR stakeholders to address or document appropriate rationale for any gaps identified in control evidence.
• Provide credible challenge to the business units on remediation efforts to ensure compliance with CO commitments.
• Ensure closure documents for each milestone are executed with necessary detail accuracy and completeness.
• Provide summary reporting on observations and concerns to be addressed by the milestone owner and validate all issues have been addressed prior to milestone closure.
• Partner with different teams to identify and mitigate cross-function risks.
• Focus on a standardized approach across the inventory to strengthen the control environment.

Requirements

• Bachelor's degree in Business, Human Resources, or related field.
• 5 to 10+ years of relevant experience in Audit, Governance Risk and Controls, Compliance Risk Management, or Regulatory transformation.
• Prior Internal Audit, External Audit, or Compliance control testing experience.
• Experience in the financial services industry, particularly with midsize or large banks.
• Experience in MCA (self-assessment of risk and control environment) and conducting walkthroughs with stakeholders.
• Strong familiarity with Risk Control Assessment programs and HR Risk policies.
• Experience in developing a control testing strategy for design and/or control effectiveness.
• Ability to identify risks and controls in a process and provide feedback to business units.
• Attention to detail and ability to identify inconsistencies in documents.
• Good documentation skills and ability to write process narratives and effective meeting notes.
• Project management and project delivery experience with a focus on execution.
• Understanding of control concepts for data completeness and integrity.
• General understanding of relevant banking regulations and supervisory expectations.
• Demonstrated ability to negotiate with diverse stakeholders and drive accountability.
• Strong relationship management skills and ability to build partnerships across HR and key support areas.
• Strong PowerPoint skills for executive-level presentations.

Nice-to-haves

• Experience with regulatory compliance initiatives.
• Familiarity with Federal Reserve Board (FRB) and Office of the Comptroller of the Currency (OCC) consent orders.

Benefits

• Medical Insurance - Four medical plans to choose from for you and your family
• Dental & Orthodontia Benefits
• Vision Benefits
• Health Savings Account (HSA)
• Health and Dependent Care Flexible Spending Accounts
• Voluntary Life Insurance, Long-Term & Short-Term Disability Insurance
• Hospital Indemnity Insurance
• 401(k) including match with pre and post-tax options
• Paid Sick Time Leave
• Legal and Identity Protection Plans
• Pre-tax Commuter Benefit
• 529 College Saver Plan