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Compliance and Operational Risk Testing Analyst Lead

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Compliance and Operational Risk Testing Analyst Lead

Job ID R0042462

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 Education:

  • Bachelor's Degree in Accounting, Finance, Business, or related field of study.
    4 additional years of related experience beyond the minimum required may be substituted in lieu of a Degree.

Minimum Experience:

  • 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:

  • 8 or more years of relevant experience within a banking, insurance, or other financial services industries.
  • 8 or more years of relevant experience independently testing for compliance and/or operational risks or auditing the roles/responsibilities of the CFO functional area.
  • Familiarity with the execution of Second Line of Defense compliance and/or operational risk testing, including compliance risk management principles.
  • Master’s degree in Accounting, Finance, Business, Risk Management, or related field of study.
  • Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certification in Risk Management Assurance (CRMA), Certified Financial Services Auditor (CFSA), Certified Fraud Examiner (CFE), or Certified Regulatory Compliance Manager (CRCM) designation(s).
  • Ability to present complex ideas in a clearly articulated, easy to understand format.
  • Proven ability to lead a cross-functional team of testing professionals in a complex working environment.
  • Ability to detect and handle conflict or hostility to message from audience and respond professionally and effectively.
  • Willingness to adapt and respond appropriately to new demands, priorities, challenges, and obstacles.
  • Expert knowledge in building, testing, evaluating the adequacy of internal control design and operating effectiveness.

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 1/20/20 by 11:59 pm CST time.

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