Compliance Testing Manager

RBC Capital Markets, LLC; Jersey City, Providence (NJ, RI); On-site; USD 110,000 - 190,000; Full time

Job summary

An established industry player is seeking a Compliance Testing Manager to oversee testing reviews for a key regulatory compliance program. In this role, you will manage the execution of the annual Compliance Test Plan, ensuring quality and consistency across the function. You will collaborate with internal stakeholders, escalate high-risk issues, and provide training to enhance tester skills. This position offers a dynamic environment where your expertise will drive program enhancements and contribute to the overall success of compliance initiatives. If you have a strong background in compliance testing and a passion for fostering a compliant culture, this opportunity is perfect for you.

Benefits

401(k)

Health insurance

Dental insurance

Vision insurance

Life insurance

Disability insurance

Paid time off

Qualifications

• 5-7 years' experience in Compliance testing or Internal Audit.
• Knowledge of FRBNY and OCC rules and regulations.

Responsibilities

• Manage testers during the execution of the Compliance Test Plan.
• Oversee issue validation processes to ensure corrective actions are taken.

Skills

Compliance testing

Branch inspection

Internal Audit

Knowledge of FRBNY and OCC regulations

Consumer regulations

Retail banking

Excellent communication skills

Organizational skills

Collaboration skills

Team-building skills

Job description

Job Summary

Responsible for managing the completion of testing reviews for the U.S. Compliance Testing Program, a key component of the U.S. Regulatory Compliance Management framework for CUSO/IHC. Will oversee the production of quality final testing reports and work-papers that thoroughly document reviews.

What will you do?

1. Manage testers during the execution of the annual Compliance Test Plan, resulting in detailed written reports documenting findings.
2. Drive quality and consistency across the Compliance Testing function.
3. Coordinate testing schedules with internal stakeholders, including Internal Audit and others, as appropriate.
4. Escalate high-risk issues to the Head of Compliance Testing and senior management.
5. Ensure consistent application of issue ratings.
6. Oversee issue validation processes to ensure corrective actions are taken and issues are remediated satisfactorily.
7. Assist with reporting Test Plan governance metrics, including progress and change management.
8. Identify opportunities for program enhancement and lead initiatives accordingly.
9. Participate in the annual test plan development by reviewing risk assessments and providing insights based on testing and environmental understanding.
10. Provide training to upskill testers, including formal and on-the-job methods.
11. Participate in performance evaluations by providing feedback on tester performance and improvement opportunities.

Time Allocation (%)

• Test Execution - 80%
• Test Plan Governance - 10%
• Testing Program Governance - 10%

What do you need to succeed?

• 5-7 years' experience in Compliance testing, branch inspection, Internal Audit, or regulatory agencies within financial services.
• Knowledge of FRBNY and OCC rules and regulations.
• Experience with consumer regulations, retail banking, and lending.
• Ability to operate effectively in a highly matrixed environment.
• Excellent communication, presentation, organizational, collaboration, and team-building skills.

Salary Range and Benefits

Los Angeles and Jersey City: $110,000-190,000, plus discretionary bonus and benefits including 401(k), health/dental/vision/life/disability insurance, and paid time off.

Minneapolis and Wilmington: $85,000-150,000, with similar benefits as above.

Additional Details

Location: Jersey City, NY; Work hours: 40/week; Employment: Full-time; Platform: Chief Legal & Admin Office Group; Job Type: Regular; Pay Type: Salaried; Posted: 2025-04-30; Deadline: 2025-05-30.

Equal Opportunity Statement

At RBC, we value diversity and inclusion, fostering a workplace where everyone feels supported and valued. We are committed to policies and programs that promote respect, belonging, and opportunity for all.

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