Compliance and Ops Risk Test Senior Lead - Vice President

Compliance and Ops Risk Test Senior Lead - Vice President

If you’re a strategic thinker who is passionate about driving solutions and mitigating risk, you’ve found the right team. As part of our dynamic environment, you’ll have the opportunity to lead and innovate, ensuring our operations align with strategic goals.

Job summary:

As a Compliance and Operations Risk Test Senior Lead in the Testing Center of Excellence, you will play a pivotal role in enhancing our compliance and operational risk management. You will be responsible for executing testing processes with precision and accountability, ensuring alignment with the firm's highest risks. Your deep understanding of principles, practices, and theories in risk and control testing will be crucial in identifying unmitigated risks and ensuring a cohesive testing framework. You will leverage your advanced analytical thinking and control evaluation skills to conduct in-depth evaluations of complex issues, and your proficient business acumen to align testing efforts with strategic goals. 

Job Responsibilities: 

• Lead end-to-end execution of complex Substantive Tests as Tester-in-Charge, including pre-planning activities, pre-submission managerial review support, and limited/as-needed issue validations.
• Provide hands-on coaching and oversight for junior testers, driving upskilling and ensuring high-quality execution of tests under supervision.
• Serve as a trusted advisor to management by applying deep product, testing, and risk expertise, including leading issue-vetting discussions and supporting day-to-day stakeholder management.
• Drive team execution beyond BAU by leading special projects/initiatives, backing up the manager when needed, and supporting test staffing/assignments and automation opportunity identification/implementation.
• Support regulatory and audit engagement by helping draft responses to requests, preparing materials for regulatory forums, and representing the TCoE in internal forums as required.

 

Required Qualifications, Capabilities and Skills:

• Qualified graduate with minimum of 12 years experience in Financial Services industry with 7 years of relevant experience in executing and managing testing processes within a risk and control environment.
• Demonstrated advanced proficiency in analytical thinking, with a track record of systematically evaluating complex testing situations and making data-driven decisions.
• Proven experience in conducting in-depth control evaluations, identifying control coverage gaps, and assessing control effectiveness.
• Experience in leading diverse teams, with a focus on planning and organizing activities across different parts of a department.
• Advanced proficiency in risk management and controls, with a history of making sound decisions in the best interest of the firm according to risk management practices and policies.

Experience Level

Executive Level