Compliance Analyst - Testing at OCC
This role is as an integral part of the Compliance Department and will interact frequently with OCC’s business departments. With oversight by the Department’s managerial staff, the Compliance Analyst will conduct Compliance testing, which will include, but not be limited to, reviewing remediation items prior to Internal Audit validation and the design and operating effectiveness of the internal control environment.
- Work directly with business units to support compliance related activities.
- In conjunction with managers, develop comprehensive and sustainable solutions for business units to consider as part of their efforts to demonstrate compliance and operational resiliency.
- Identify opportunities for increased effectiveness and efficiency in current compliance processes.
- Review policy and procedure documentation for adherence to organizational requirements and regulatory impact.
- Support department monitoring and assurance activities aligned to regulatory requirements and standards of conduct.
- Perform other duties as assigned.
Compliance Testing Responsibilities
- Review policy, procedures and controls for design and operating effectiveness resulting from regulatory changes, monitoring and metrics, management requests or other triggering events.
- Test controls prior to implementation within OCC technology systems.
- Partner with third line to understand requirements for remediating findings.
- Review remediated findings submitted by business owners prior to third line validation.
- Work with the Regulatory Compliance Advisory team to provide constructive feedback to business owners on reviewed findings and testing results.
- Identify trends in testing and remediation gaps in order to highlight training or education opportunities.
- Ability to work independently and consistently manage workload in order to meet set deadlines.
- Strong interpersonal skills, including excellent written and oral communication skills.
- Ability to think creatively and present ideas clearly.
- Ability to manage multiple tasks/projects and deadlines simultaneously, as well as shifting priorities is essential.
- Ability to interact and collaborate with all levels of the organization and across a multitude of departments.
- Comprehensive analytical, conceptual, and problem-solving skills.
- Strong attention to detail and ability to retain and recall information.
- Ability to quickly learn and navigate applications and software.
- Microsoft Office Proficiency including advanced Excel, PowerPoint and Word
- Experience with eGRC tools, preferably RSA Archer
- 1-3 years of analytical experience, preferably in an audit, compliance, enterprise risk or related consulting function
- Bachelor's Degree required
- CIA, CISA, CCEP or related certification, preferred
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