Previous Job
Previous
Controls Testing Specialist
Ref No.: 18-14684
Location: New York, New York

Support controls testing team that was recently built – responsible for conducting AFC compliance testing reviews according to an annual testing plan. This is a replacement for someone on maternity leave, will be gone for 6-7 months.

Looking for someone who can conduct interviews and walk through processes who understands AML and anti-financial crime concepts.

Looking for some compliance testing or previous experience in audit that understands what it's like to conduct a review over a controls project.

Looking for SME in AML, Sanctions, Fraud, etc.

Needs to be organized, and have strong attention to detail, excellent communication and report writing skills.

Needs PowerPoint skills.


 Executes AFC Compliance testing reviews according to an annual testing plan that meets applicable regulatory requirements, expectations, and guidance
 Assists the Americas Head of Controls in designing an annual testing plan (i.e., scoping and planning the reviews and developing/updating test program documentation including procedures and testing templates where required)
 Conducts fieldwork testing and assesses whether any exceptions have been identified and the risk level of such exceptions
 Ensures that reviews are completed in a timely manner and that a robust review has been conducted
 Participates in periodic team meetings to report on the status of the testing reviews and pending questions, and to assist with tracking completion of reviews and implementation of remedial actions
 Discusses potential findings with relevant stakeholders including the business or function being tested as well as the relevant members of the local Country AFC Officers and Line-of-Business Compliance
 Proposes solutions and assists process owners to develop remedial actions that adequately address the identified issues and risks;
 Ensures testing result findings are properly escalated and that related remedial actions are monitored and adequately implemented in a timely fashion
 Assists the Americas Head of Controls in preparing periodic reports, management information, and other documents for senior management and external regulators (if required)
 Produces high quality records and supporting work paper documentation and ensures that all work papers are in order, ready, and accessible for future review
 Assists with conducting off-cycle "deep dive " reviews, which may include performing a more detailed analysis of controls for targeted business or operational areas