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Senior Compliance Testing Analyst - Data and Systems

Company: M&T Bank
Location: Buffalo
Posted on: August 14, 2019

Job Description:

Overview: ========= The Senior Compliance Testing Analyst is responsible for the execution of compliance testing engagements utilizing a risk based approach in line with department standards to ensure the Bank s compliance with applicable laws, rules, and regulations. Includes participation in planning/ test scope, test work execution, and input while drafting issues found during testing. The preferred candidate will have previously demonstrated capabilities and a functional knowledge of advanced data analytics using SQL, Oracle and, or SAS. Primary Responsibilities: * Interface with all layers of the organization predominantly independently to obtain information related to processes and controls. * Perform compliance testing in accordance with department and professional standards. * Specific compliance testing responsibilities include the planning and execution of control and substantive testing, assistance in the review of testing, and evaluating results to determine if control weaknesses or testing exceptions exist. * Organize and complete work within established time frames predominantly independently, periodically providing updates of completion status to management. * Draft substantive testing findings and control execution weaknesses under the direction of a Manager. * Lead collaborative testing team discussions with all levels of management where judgment and opinions are effectively challenged. * Review test findings with testing management and other compliance officers to confirm validity of issues; make recommendations to Compliance Testing Manager regarding the appropriate tier rating of identified issues. * Work with business units and compliance groups to ensure consistent understanding of requirements. * Responsibilities may also include system administrative duties such as maintenance, validation, and/or updating in the compliance data management system (Archer). * Review work papers of team members and provide related feedback, coaching, and mentoring. * Build a working relationship with line-level Internal Audit, Business Units, and Corporate Compliance Portfolio Managers. * Encourage integrated testing approaches with the data & systems team, and make suggestions on testing approaches to improve the efficiency and effectiveness of testing procedures. * Serve as knowledge resource for team members. * Maintain a strong working knowledge of regulatory requirements to perform and ensure an appropriate level of testing. * Assess business unit process and controls under minimal direction or independently, and provide risk focused input on effectiveness and efficiency of testing approach. * Independently document and assess all levels of test scripts. * Participate in special projects and department wide initiatives, as necessary. * Multitask assignments and meet established deadlines. * Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies. * Understand and adhere to the Company s risk and regulatory standards, policies and controls in accordance with the Company s Risk Appetite. Identify risk-related findings needing escalation to a Manager. * Promote an environment that supports diversity and reflects the M&T Bank brand. * Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable. * Complete other related duties as assigned. Scope of Responsibilities: The position works under the direction of the Compliance Testing Manager and is required to exercise independent judgment and discretion utilizing a risk based approach. The position collaborates extensively with (a) Corporate Compliance subject matter deputies to gain an appropriate understanding of applicable regulatory requirements, (b) business unit staff and PCMs to understand work flows and processes, and (c) Internal Audit as a resource for review and coordination of testing plans and methods. The position may interact with external contacts including Bank Supervisors/Examiners and peers at other institutions. Education and Experience Required: Bachelor s degree in a business related curriculum and a minimum of 4 years' relevant work experience (Compliance, Audit, or Risk Management), OR in lieu of a degree, A combined minimum of 8 years higher education and/or work experience including 4 years' relevant work experience. Demonstrated coaching experience. Ability to read and understand laws, regulations, and common law applicable to subject matter. Ability to exercise judgment and sound discretion, and understand when Corporate Compliance Management guidance is needed. Comprehensive understanding of financial services functions. Ability to thrive in a collaborative, team-oriented environment. Strong interpersonal skills, having the ability to effectively communicate both orally and in writing to line level management. Strong organizational and analytical skills. Possess regulatory subject matter expertise related to aspects of the portfolio. Strong proficiency with personal computers as well as pertinent software packages. Education and Experience Preferred: Advanced data analytics experience; SAS or SQL (Oracle) Advanced Microsoft Excel experience (i.e. formulas V/H Lookup, IF, Statistical, Date Functions, pivot tables, macros) Related certifications (CPA, CIA, CISA, CAMS or similar certification) MBA or Master's Degree in an appropriate field. Location ======== Buffalo, New York, United States of America

Keywords: M&T Bank, Buffalo , Senior Compliance Testing Analyst - Data and Systems, Professions , Buffalo, New York

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