Job#: 3058735
Job Description:
Compliance Testing Consultant
Position Overview
We are seeking experienced Compliance Testing Consultants to support our Risk Consulting practice on a large-scale compliance monitoring and testing engagement for a financial services client.
The consultants will provide hands-on support executing a risk-based compliance testing plan, including planning and scoping reviews, interpreting regulatory requirements, assessing controls, performing testing, documenting results, identifying potential issues, and supporting final reporting.
This role is ideal for professionals with experience in second-line compliance testing, regulatory compliance, controls testing, or compliance assurance within banking or financial services.
Responsibilities
- Execute end-to-end compliance monitoring and testing engagements.
- Review applicable regulatory requirements and determine appropriate testing scope.
- Assess regulatory requirements and associated control mappings.
- Conduct walkthroughs with business, compliance, and control stakeholders.
- Develop testing procedures and perform sample-based testing.
- Review evidence and evaluate the design and effectiveness of compliance controls.
- Clearly document testing performed, results, conclusions, and potential findings.
- Discuss testing observations and potential issues with key stakeholders.
- Support the preparation of clear, concise reports for senior management.
- Coordinate with Compliance Advisory, Governance & Controls, Internal Audit, and other business and risk functions.
- Support testing-plan changes, coverage assessments, quality reviews, and management reporting.
- Investigate regulatory mapping, data-quality, and control-ownership issues.
- Record and track findings in ServiceNow and support remediation planning.
- Manage multiple testing activities and stakeholder priorities simultaneously.
Qualifications
- Professional experience in compliance testing, monitoring, regulatory compliance, risk and controls, or compliance assurance.
- Experience within banking, capital markets, or financial services strongly preferred.
- Hands-on experience executing risk-based compliance or controls testing.
- Understanding of second-line compliance oversight and testing methodologies.
- Ability to interpret regulatory requirements and evaluate related controls.
- Experience performing walkthroughs, sampling, evidence review, testing documentation, and issue identification.
- Strong analytical skills and professional judgment.
- Strong written communication and documentation skills.
- Ability to communicate effectively with business, risk, compliance, and senior-level stakeholders.
- Ability to independently manage testing engagements and competing priorities.
- Proficiency with Microsoft Office.
Preferred Qualifications
- Experience supporting Canadian banking or financial services regulatory compliance.
- Prior consulting or client-facing experience.
- Experience with ServiceNow and/or MERLIN.
- Experience working within a second-line Compliance Monitoring & Testing function.
Everforth Apex is a world-class IT services company that serves thousands of clients across the globe. When you join Everforth Apex, you become part of a team that values innovation, collaboration, and continuous learning. We offer quality career resources, training, certifications, development opportunities, and a comprehensive benefits package. Our commitment to excellence is reflected in many awards, including ClearlyRateds Best of Staffing® in Talent Satisfaction in the United States and Great Place to Work® in the United Kingdom and Mexico.
Everforth Apex Benefits Overview: In terms of professional development, Everforth Apex hosts an on-demand training program, provides access to certification prep and a library of technical and leadership courses/books/seminars once you have 6+ months of tenure, and certification discounts and other perks to associations that include CompTIA and IIBA.
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Everforth Apex Systems is part of the Commercial Segment of Everforth, Inc.
NYSE: EFOR
4400 Cox Road
Suite 200
Glen Allen, Virginia 23060
Everforth Apex is an equal opportunity employer. We do not discriminate or allow discrimination on the basis of race, color, religion, creed, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), age, sexual orientation, gender identity, national origin, ancestry, citizenship, genetic information, registered domestic partner status, marital status, disability, status as a crime victim, protected veteran status, political affiliation, union membership, or any other characteristic protected by law. Everforth Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law. If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation in using our website for a search or application, please contact our Benefits Department at [email protected] or 804-523-8228. (Do not submit resumes or solicit consultants to this email address). UnitedHealthcare creates and publishes the Transparency in Coverage Machine-Readable Files on behalf of Everforth Apex.
