Compliance Testing Manager

Compliance Testing Manager

Location: Dallas, TX

Onsite Flexibility: Onsite

Contract Details

• Position Type: Contract
• Contract Duration: 6 months
• Work Authorization: Applicants must be authorized to work for ANY employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.

Job Summary

This role contributes to the overall success of the GBM&T Compliance Department in the U.S., ensuring specific individual goals, plans, and initiatives are executed and delivered in support of the team's business strategies and objectives. The position ensures all activities conducted are in accordance with governing regulations, internal policies, and procedures. The primary responsibility is to support compliance testing for U.S. operations. The U.S. Compliance Testing Program covers U.S. regulations applicable to all of U.S. broker-dealer (including internal inspections), banking, swap dealer, futures commission merchant, investment management activities, corporate functions, cross-border testing engagements, and other financial services activities. Members of the testing team may be assigned to conduct testing with respect to these business activities.

Key Responsibilities

• Support Compliance Testing Program in conducting reviews based upon the regulatory requirements, processes, policies, and procedures to assess controls within the first and second lines of defense.
• Understand the applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations.
• Assist team in responding to regulatory inquiries, initiatives, audits, and examinations.
• Support reviews through the planning/scoping, fieldwork, and reporting phases.
• Escalate potential issues and exception items noted during the review process to senior management.
• Ensure that the stakeholders respond with appropriate action to address all draft recommendations and deficiencies noted during the fieldwork process.
• Perform required administrative responsibilities in support of testing, including but not limited to:

- Preparing and entering all issues and observations into central repository. - Prepare and distribute testing reports to senior management detailing review findings and recommendations. - Prepare Workpapers documenting testing with enough detail that a third party can reasonably understand.

• Provide assistance with the Team's collective issues management and validation testing efforts.
• Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Build and manage relationships with stakeholders across the business and peers within compliance.

Required Skills

• Strong attention to detail.
• Ability to communicate well across all levels of an organization.
• Strong ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines.
• Strong written and verbal communication skills.
• Ability to work independently.
• Excellent teamwork, interpersonal, and conflict resolution skills.
• Highly organized and capable of dealing with complex projects.

Education Requirements

• BA or international equivalent.

Required Experience

• A minimum of 5 years of compliance, audit, or regulatory exam support experience, with at least 3 of which should involve compliance testing or audit.

Nice-to-Have Experience

• Experience/background in compliance applicable to broker-dealer internal inspections, institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management, and corporate functions within an investment or commercial bank or institutional broker-dealer.
• Familiarity with applicable SEC, CFTC, NFA, and state banking rules applicable to international banks conducting institutional trading & sales, investment banking, investment management, and commercial banking in the U.S.

Benefits

• Medical, Vision, and Dental Insurance Plans
• 401k Retirement Fund

About GTT

GTT is a minority-owned staffing firm and a subsidiary of Chenega Corporation, a Native American-owned company in Alaska. We highly value diverse and inclusive workplaces and support Fortune 500 organizations across banking, financial services, technology, life sciences, biotech, utilities, and retail sectors throughout the U.S. and Canada.

Job Number: 26-08033 Industry: Manufacturing & Operations

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