_{26th July, 2022}

• PURPOSE (Instructions below)Responsible for conducting testing reviews for the U.S. Compliance Testing Program, a critical program element of the U.S. Regulatory Compliance Management framework for CUSO/IHC; Responsible for producing quality final testing reports and work-papers that thoroughly document reviews; and Responsible for issue reporting and validation.

• Conducting testing across the CUSO/IHC, resulting in detailed written reports documenting findings
• Assisting with the reporting of Test Plan governance, including progress to plan reporting and change management
• Provides ideas for the enhancement of the Program by leveraging Compliance Advisory, monitoring plan, and industry research
• Responsible for entry of reviews and workpapers to TeamMate, and ancillary TeamMate tasks which may arise, for the purposes of completing plan execution
• Responsible for assessing issues and advising on ratings, root causes, etc.
• Responsible for escalating high risk issues found to senior management
• Responsible for issue entry to CALMA and RegComp and oversight that corrective action has been taken and issues satisfactorily remediated

• Testing Program – 80%
• Issue Validation – 20%

• 2 - 5 years’ experience in the financial services industry in Compliance testing, branch inspection, Internal Audit or at a financial institutions regulator
• Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations
• Experience with operating in a highly matrixed environment
• Excellent communication and presentations skills
• Excellent organizational skills
• Excellent collaboration and team-building skills