Senior Compliance Testing & Controls Lead

Madison-Davis, LLC; Woodbridge Township (NJ); Sur place; USD 90 000 - 120 000; Plein temps

Résumé du poste

Madison-Davis, LLC is seeking an experienced Compliance Monitoring & Testing professional to support its regulatory compliance oversight function. The role focuses on evaluating controls, identifying regulatory risks, and executing independent testing reviews with actionable improvements.

The ideal candidate will be proactive, detail-oriented, and capable of managing reviews independently while collaborating with senior stakeholders in a financial services context.

Qualifications

• Bachelor's degree required.
• 3–5 years of experience in compliance testing, monitoring, internal audit, or risk management within financial services.
• Experience developing and executing compliance testing plans.
• Knowledge of financial services regulations including prudential requirements, BSA/AML, and privacy obligations.

Responsabilités

• Plan, scope, and execute risk-based compliance monitoring and testing reviews across business functions.
• Evaluate internal controls, regulatory requirements, and compliance risk assessments to determine testing priorities.
• Identify control weaknesses, regulatory gaps, and areas requiring remediation.
• Prepare clear, concise testing reports outlining findings, risk implications, and recommended corrective actions.
• Apply independent judgment when assessing complex compliance issues and determining appropriate solutions.
• Monitor changes in financial services regulations and assess their impact on existing controls.
• Support adherence to regulatory requirements, including prudential standards, BSA/AML, and privacy regulations.
• Partner with compliance advisory teams to evaluate regulatory risks and control effectiveness.
• Contribute to the enhancement of policies, procedures, and risk management practices.
• Recommend improvements to testing methodologies, reporting templates, and monitoring procedures.
• Manage testing assignments independently, ensuring accurate deliverables and timely completion.
• Communicate findings and recommendations to management and business partners.
• Build effective working relationships across compliance, risk, audit, and business teams.
• Influence remediation efforts and control improvements without direct management authority.

Connaissances

Analytical skills

Regulatory interpretation

Written communication

Independent review management

Formation

Bachelor's degree

Outils

Microsoft Excel

Microsoft Word

PowerPoint

SharePoint

Description du poste

Madison-Davis, LLC is seeking an experienced Compliance Monitoring & Testing professional to support its regulatory compliance oversight function. The role focuses on evaluating controls, identifying regulatory risks, and executing independent testing reviews with actionable improvements.

The ideal candidate will be proactive, detail-oriented, and capable of managing reviews independently while collaborating with senior stakeholders in a financial services context.