Associate - Compliance and Ops Risk Test Senior Specialist

Associate - Compliance and Ops Risk Test Senior Specialist

Join a team focused on strengthening the control environment through disciplined testing and clear documentation. In this role, you will evaluate control design and effectiveness, identify gaps, and help drive remediation to reduce risk. You will collaborate closely with process and control owners to plan walkthroughs, gather evidence, and deliver timely reporting. If you thrive on analytical problem-solving and improving testing methods, this role offers meaningful opportunities to make an impact.

Job summary:

As a Compliance and Operations Risk Test Senior Specialist within Testing Center of Excellence team, you will apply your knowledge of risk management and control evaluation to identify and mitigate compliance and operational risks. You will execute testing with precision and accountability to deliver high-quality outcomes aligned to the firm’s highest-priority risks. You will assess the control environment, identify gaps, and drive remediation efforts to reduce risk. You will use analytical thinking and structured problem-solving to break down complex business objectives into actionable tasks and activities. You will help ensure a cohesive and efficient testing framework that supports consistent, high-quality delivery.

Job Responsibilities: 

• Evaluate the assigned function’s control environment, including assessing the adequacy, effectiveness, and design of controls to support alignment with Sarbanes-Oxley (SOX) and other regulatory frameworks, as well as the firm’s risk priorities.
• Execute testing processes with precision and accountability to assess the control environment, identify gaps, and prepare robust documentation (including process documents, process flows, and overview documents) that supports testing conclusions.
• Collaborate with process and control owners and cross-functional teams on the testing schedule; obtain walkthroughs; document process changes; gather evidence; analyze potential issues; and facilitate timely reporting.
• Support issue validation, action plan quality, and closure discipline by partnering with control owners to help ensure remediation aligns with risk acceptance and compliance expectations.
• Lead walkthroughs and other meetings with business owners, fostering collaboration across engagements with minimal oversight.
• Interpret policies, standards, and procedures to support accurate implementation of compliance requirements, while continuously improving control evaluation methodologies and interpreting control ratings and metrics to strengthen the compliance and operational risk management framework.
• Propose and implement improvements to current testing methods, contributing to the overall efficiency and effectiveness of the firm’s risk management.

Required Qualifications, Capabilities and Skills:

• Bachelor’s degree in business, finance, or a related field, or equivalent work experience.
• Minimum of 4 years of experience in controls testing, audit, or operational risk management within a risk and control environment.
• Strong understanding of risk management and compliance.
• Demonstrated advanced analytical thinking and problem-solving skills, including analyzing large data sets to identify exceptions or patterns.
• Ability to evaluate multiple aspects of a situation to identify key information.
• Proven ability to build partnerships with key stakeholders and collaborate with business and functional experts to identify risks and gaps.
• Strong organizational and time management skills, with the ability to remain flexible and productive through shifting priorities and deadlines.
• Strong written and verbal communication skills, with the ability to influence business leaders in a meaningful and actionable manner.
• Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint.

Preferred Qualifications, Capabilities and Skills:

• Professional qualifications such as Chartered Accountant (CA), Certified Public Accountant (CPA), Master of Business Administration (MBA) in Finance, or Certified Internal Auditor (CIA).
• Audit and control testing experience.
• Experience using tools such as Alteryx or Tableau to support testing activities or metrics reporting.
• Ability to innovate, challenge the status quo, and identify automation opportunities.

Experience Level

Senior Level