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Testing Specialist - EIT

Charlotte, North Carolina;

Job Description:

The Testing Specialist, under supervision, conducts independent transactional and process testing on a team in support of needs identified by Compliance and Operational Risk Officers. A test is defined in the Independent Testing Enterprise Policy as “an independent point-in-time examination of one or more processes, controls, policies and procedures or data sources utilized for managing risk to assess the effectiveness of the control environment. A test is focused on answering a specific objective and has a pre-defined pass/fail criteria.”

The Testing Specialist is accountable for quality testing execution, reporting and analysis of results. This role may participate in test script development and test design. The Testing Specialist contributes to the identification of themes and trends at the front line unit, control function and enterprise level. This role is an individual contributor in the Test Execution function. The role focuses on using statistical analysis to identify patterns and trends with data, parameters and alerts in order to make the surveillance program more efficient and effective.

This role is critical to conducting independent transactional test execution and process testing in EIT to support the needs identified by Compliance and Operational Risk Officers


Key Responsibilities:

  • Work the broader teams such as reporting and GTO to capture necessary data and utilize tools to create statistical models that can make the surveillance program more effective and efficient.
  • Work with GTO and Reporting team to automate manual work and ensure the success of the future automation strategy.
  • The Testing Specialist is primarily responsible for conducting regulatory required reviews within Global Banking and Markets ("GBAM") for adherence to applicable laws, rules, regulations and Firm policies and procedures.
  • This individual will be performing compliance examinations of line of business sales and trading desks and investment banking functions/processes.
  • This includes coordinating with line of business and compliance partners to establish the scope of each exam; analyzing internal and supervisory controls to determine compliance with established standards and rule requirements; providing comprehensive written reports relating to the examinations; and tracking identified issues through completion.
  • Applies knowledge and expertise of testing programs, industry practices within the business group. Independently conducts assigned responsibilities within the context of the business unit compliance program.

Required Skills and Experience:

  • 5 years of combined compliance, supervisory or trading experience with prior examination history
  • Deep understanding of statistics and the ability to use Microsoft Excel and/or other tools for modelling
  • Deep understanding of risk assessment and testing methodologies and techniques
  • Excellent interpersonal, written and verbal communication skills are essential
  • Excellent analytical skills, time management and knowledge and use of reporting and presentation tools

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The Testing Specialist, under supervision, conducts independent transactional and process testing on a team in support of needs identified by Compliance and Operational Risk Officers. A test is defined in the Independent Testing Enterprise Policy as “an independent point-in-time examination of one or more processes, controls, policies and procedures or data sources utilized for managing risk to assess the effectiveness of the control environment. A test is focused on answering a specific objective and has a pre-defined pass/fail criteria.”

The Testing Specialist is accountable for quality testing execution, reporting and analysis of results. This role may participate in test script development and test design. The Testing Specialist contributes to the identification of themes and trends at the front line unit, control function and enterprise level. This role is an individual contributor in the Test Execution function. The role focuses on using statistical analysis to identify patterns and trends with data, parameters and alerts in order to make the surveillance program more efficient and effective.

This role is critical to conducting independent transactional test execution and process testing in EIT to support the needs identified by Compliance and Operational Risk Officers


Key Responsibilities:

  • Work the broader teams such as reporting and GTO to capture necessary data and utilize tools to create statistical models that can make the surveillance program more effective and efficient.
  • Work with GTO and Reporting team to automate manual work and ensure the success of the future automation strategy.
  • The Testing Specialist is primarily responsible for conducting regulatory required reviews within Global Banking and Markets ("GBAM") for adherence to applicable laws, rules, regulations and Firm policies and procedures.
  • This individual will be performing compliance examinations of line of business sales and trading desks and investment banking functions/processes.
  • This includes coordinating with line of business and compliance partners to establish the scope of each exam; analyzing internal and supervisory controls to determine compliance with established standards and rule requirements; providing comprehensive written reports relating to the examinations; and tracking identified issues through completion.
  • Applies knowledge and expertise of testing programs, industry practices within the business group. Independently conducts assigned responsibilities within the context of the business unit compliance program.

Required Skills and Experience:

  • 5 years of combined compliance, supervisory or trading experience with prior examination history
  • Deep understanding of statistics and the ability to use Microsoft Excel and/or other tools for modelling
  • Deep understanding of risk assessment and testing methodologies and techniques
  • Excellent interpersonal, written and verbal communication skills are essential
  • Excellent analytical skills, time management and knowledge and use of reporting and presentation tools

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21029480

Band: H5

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Aubrey Drake

Referral Bonus:

0