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Compliance and Operational Risk Testing Analyst Lead

Location Phoenix, Arizona | Plano, Texas | San Antonio, Texas | Tampa, Florida Secondary Locations Phoenix,Arizona;Plano,Texas;REMOTE,ZZ;San Antonio,Texas;Tampa,Florida; Job ID R0039513 Date posted Oct. 09, 2019 Apply Now

Purpose of Job

As a member of the second line of defense, oversees the execution of independent testing under the Enterprise Testing program methodology to ensure departmental processes and activities comply with applicable rules, regulations, policies and procedures. The incumbent will compile and retain well documented work papers to create accurate and concise written reports including issues, root cause and recommended corrective action.

Job Requirements

  • Develops the steps needed to test and/or analyze compliance with complex policies/procedures and laws/regulations. 
  • Serves as a subject matter expert in a specific subject/business area and provides guidance to team members on complex issues.
  • Leads and manages a grouping of tests to ensure operational risks and compliance requirements are adhered to.
  • Reviews and executes, as needed, work papers to support conclusions of test findings.
  • Provides input on allocation of resources to complete testing activities.
  • Performs complex qualitative analysis of data. 
  • May develop executive briefs and present to key internal and external stakeholders. 
  • Builds, develops, and maintains relationships with the business and internal control partners (Audit, Risk & Compliance, Legal) to facilitate collaboration between all lines of defense for testing.

Minimum Requirements:

  • Bachelor's Degree OR 4 additional years of related experience beyond the minimum required may be substituted in lieu of a Degree.
  • 8 or more years of relevant work experience (internal/external audit, operational risk/compliance testing, quality assurance)
  • Expert knowledge of relevant industry regulations and regulatory compliance in a specific area.
  • Demonstrated experience interpreting and applying federal and state laws and regulations and guidance or operational risk principles/concepts. 
  • Advanced knowledge of testing techniques and data analysis principles, as well as the ability to interpret subsequent results. 
  • Demonstrated ability to communicate effectively at all levels of management.
  • Advanced knowledge of Microsoft Office tools to include Word, Excel and PowerPoint.

*Qualifications may warrant placement in a different job level*

When you apply for this position, you will be required to answer some initial questions.  This will take approximately 5 minutes.  Once you begin the questions you will not be able to finish them at a later time and you will not able to change your responses.

Preferred Experience:

  • Experience with regulatory remediation work.
  • Experience writing workpapers for regulatory review.
  • Internal Audit experience.
  • Experience briefing C-level management.
  • AML Compliance experience.
  • ACAMS Certified.
  • J.D. Degree.

The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.

At USAA our employees enjoy one of the best benefits package in the business, including a flexible business casual or casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs.  Additionally, our career path planning and continuing education will assist you with your professional goals.

Relocation assistance is not available for this position.

For Internal Candidates:

Must complete 12 months in current position (from date of hire or date of placement), or must have manager’s approval prior to posting.

Last day for internal candidates to apply to the opening is 10/14/19 by 11:59 pm CST time.

Apply Now

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