The Testing CoE (Center of Excellence) is an essential part of our company’s commitment to maintaining a strong, consistent control environment through continuous, rigorous evaluation of control adequacy and effectiveness across the Firm.

The newly established Testing CoE brings together skilled monitoring, testing, and evaluation experts from across the globe into one team focused on shared best practices, the development of innovative processes and tools, and committed to the continued advancement of the Firm’s Risk and Control framework. 

As a Substantive Testing Performer within the Testing CoE (Center of Excellence), your role in risk identification, control evaluation, and security governance is crucial. You will advise on complex situations and enhance the firm’s risk posture. Through your collaboration and analytical skills, you will contribute to our overall success and strengthen our compliance with regulatory obligations and industry standards.

Job Responsibilities

Lead and manage control evaluations and end-to-end substantive testing activities, including planning, fieldwork and reporting.  Lead comprehensive control evaluations and testing to independently assess the design and effectiveness of controls within the Risk Management & Compliance organization. Ensure compliance with internal policies, procedures, and external laws, rules, and regulations, while identifying necessary remediation actions. This includes developing and executing testing procedures, meticulously documenting results, drawing informed conclusions, making actionable recommendations, and distributing detailed compliance testing review reports. Foster collaboration with Compliance and Operational Risk Officers developing detailed test scripts, facilitating issue discussions, participating in business meetings, and drafting comprehensive final reports to ensure alignment and clarity. Utilize advanced critical thinking skills to evaluating the effectiveness of high-risk business processes and identifying potential areas for improvement. Proactively assess and monitor risks, ensuring adherence to firm standards, regulatory requirements, and industry best practices. Implement strategies to mitigate identified risks effectively. Collaborate with cross-functional teams and stakeholders to support the design and effectiveness of controls. Drive initiatives that enhance the business control environment through recommended updates to the Compliance and Operational Risk Evaluation (CORE) application. Develop and execute robust control test scripts aimed at identifying control weaknesses, determining root causes, and recommending practical solutions to enhance operational efficiency and control effectiveness. Document test steps and results in a comprehensive and organized manner, ensuring sufficient support and justification for testing conclusions. Maintain a high standard of documentation to facilitate transparency and accountability. Lead meetings with business owners at various management levels, delivering testing results and supporting sustainable control enhancements. Identify and capitalize on opportunities to strengthen controls and improve operational efficiency.

Required qualifications, capabilities and skills 

Relevant experience or equivalent expertise in risk management, assessment, control evaluations, or a related field, preferably within the financial services industry. Possess a strong understanding of industry standards and regulatory requirements. Demonstrated ability to analyze complex issues, develop and implement effective risk mitigation strategies, and communicate insights and recommendations clearly to senior stakeholders. Proficient knowledge of risk management frameworks, regulations, and industry best practices. Ability to stay updated with evolving regulatory landscapes and adapt strategies accordingly. Exceptional ability to develop and communicate well-founded recommendations based on regulatory guidance and standards, ensuring alignment with organizational goals and compliance requirements. Highly organized and detail-oriented, with a proven track record of managing multiple priorities and delivering results in a fast-paced environment. Strong analytical and communication skills, with the ability to convey complex information in a clear and concise manner to diverse audiences.

Preferred qualifications, capabilities and skills

Bachelor’s degree, or equivalent job experience A background in auditing and the ability to understand of internal controls is beneficial. Proficiency in MS (Microsoft Suite) Office - Microsoft Word, Excel, Access, and PowerPoint. Knowledge of data analytical tools such as Tableau, Altryx or Pythyon is a plus.