Quality Assurance Testing - Compliance Management

On behalf of our client in the Banking Sector, PROCOM is looking for a Quality Assurance Testing - Compliance Management

Quality Assurance Testing - Compliance Management – Job Description

  • The Compliance Quality Assurance (QA) Team is expecting a surge of Management Milestones to assess for operating effectiveness and resources are required to perform testing and document results of assessments
  • Design and execute Quality Assurance (QA) test scripts for findings and recommendations relating to key components of the Banks Regulatory Compliance Management Framework
  • Perform and document process and control walkthroughs and detailed sample testing for assigned areas and/or engagements
  • Evaluate the design and operating effectiveness of enterprise compliance and local compliance programs, processes, and controls regarding Regulatory Compliance Management Framework requirements
  • Ensure working paper files are documented on time and according to established QAR documentation standards.
  • Ensure QAR results are analyzed, key themes are highlighted, root causes are identified, and impact is assessed
  • Execute assigned QAR activities within pre-set timelines and budget restrictions
  • Ensure QAR reports are written in a clear, consistent standard of quality and are finalized within established timelines
  • Maintain effective communication with team members and compliance stakeholders throughout the QAR engagement planning, execution, and validation testing process

Quality Assurance Testing - Compliance Management – Mandatory Skills

  • 5+ years of direct relevant experience in a QA function, audit, compliance or risk management function of a matrix organization, preferably within the financial services industry
  • Experience in Compliance, Audit, risk assessment, testing, and internal control assessment methodologies
  • Knowledge of the financial sector including perspective on the regulatory and landscape
  • Working knowledge of data analytics tools (Excel, Power BI, Tableau, SQL, SAS etc.)
  • Ability to work in an environment of deadlines, ambiguity and rapid change and develop approaches to conduct QARs in these environments
  • Strong communication skills with ability to write clearly and concisely
  • Strong analytical skills with ability to understand various operations and assess the effectiveness of processes and controls
  • Work effectively in a group environment and manage cross-functional relationships
  • Ability to apply professional judgement, supported by appropriate analysis
  • Attention to details with an ability to problem-solve and multi-task
  • Bachelor's degree in a technical field such as finance, audit, computer science, or related field

Quality Assurance Testing - Compliance Management – Nice to Have Skills

  • Professional accounting, legal, or business designation (e.g., CPA, CA, CIA, CISA)
  • Bilingual in Spanish would be an asset
  • Experience with OSFI E-13 (Designing and testing regulatory compliance management)

Quality Assurance Testing - Compliance Management - Assignment Start Date

ASAP – 6 months to start

Quality Assurance Testing - Compliance Management - Assignment Location

Toronto, ON – Work Hybrid



Location Toronto
Field Middle Management
Time Full-time
Date 30 April 2022
Company name Procom (agency) Visit company page
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