Capital Markets Controls Tester

JOB DESCRIPTION

As a Capital Markets Controls Tester, the successful candidate will be responsible for conducting comprehensive testing of the bank's control environment to ensure compliance with regulatory, legislative, and operational requirements across Capital Markets businesses. They will work closely with business stakeholders to identify, assess, and test key controls while providing recommendations for improvement. This role will be critical in mitigating operational risks and ensuring the effectiveness of the bank's control framework. Key Responsibilities: • Conduct detailed testing of key controls across Capital Markets business units to ensure compliance with regulatory, legislative, and operational requirements. • Assess the design and operating effectiveness of controls supporting trading, sales, market risk, and other Capital Markets functions. • Identify control deficiencies and provide recommendations for remediation. • Develop and execute test plans, including defining test objectives, scope, and methodology. • Document and report test results, including findings and recommendations, to relevant stakeholders. • Collaborate with business units, Risk, Compliance, and Audit teams to understand processes and identify areas for control improvement. • Monitor the implementation of control improvements and ensure timely remediation of deficiencies. • Support internal and external audits by providing documentation and testing results. • Stay updated on regulatory changes and industry best practices related to Capital Markets controls and risk management. We may use artificial intelligence tools to assist with the screening, assessment, or selection of potential applicants for this position.

REQUIRED SKILLS AND EXPERIENCE

• 7+ years of experience in control testing, operational risk, internal audit, compliance, or a related area. • Banking or large financial institution experience. • Experience supporting Capital Markets businesses, including areas such as Fixed Income, Equities, Sales & Trading, Treasury, or Market Risk. • Strong understanding of risk, governance, and control testing methodologies. • Strong analytical and problem-solving skills.

NICE TO HAVE SKILLS AND EXPERIENCE

• Professional certifications such as Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or CRISC. • Experience supporting regulatory, audit, or enterprise risk initiatives.

Pay:60-70 Hr

Vacancy: New Vacancy (New Role)

We may use artificial intelligence tools to assist with the screening, assessment, or selection of potential applicants for this position.