Junior Tester, First Line Control Testing

Your Opportunity The 1 st Line of Defense (LOD) is responsible for performing testing and monitoring to evaluate the effectiveness of internal controls established to mitigate identified risks. These individuals exhibit a deep understanding of the LOB including applicable systems, tools, policies and procedures and are adept at identifying procedural gaps and deficiencies. This position is an entry-level tester on a team. With guidance, qualified candidate will be responsible for learning all aspects of risk assessment of activities for assigned line of business, including: completing risk control review, creating work papers that meet testing standards, concluding on testing results with business partners and drafting deficiencies and recommendations.

What you're good at

  • Become familiar with and gain an understanding of risk control standards, risk assessment and federal and/or state fiduciary compliance regulatory requirements applicable to the assigned areas of the review
  • Evaluate the effectiveness of controls in place to mitigate identified risk; review evidence, document testing results in a comprehensive and organized manner
  • Learn to draft audit results in a report that are objective, clear, concise, constructive, and timely; participate in entrance and exit conferences to communicate and discuss the testing plan and/or the results of the review
  • Assist in ensuring issues identified during testing and monitoring reviews are followed-up on and corrective action plans are properly executed to comply with firm policy and/or applicable regulatory requirements
This is a summary only and duties and responsibilities may be changed from time to time, or over time.


What you have
The ideal candidate will possess the following qualifications

Required Competencies:
  • Demonstrated written and oral communication skills and ability to communicate with all levels of management
  • Ability to build strong relationships and work cross functionally with internal and external constituents
  • Detail-oriented with strong analytical skills
  • Ability to work cooperatively and effectively with supporting team members to meet departmental goals
  • Strong time management, organization and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
  • Exercise sound judgment to influence a strong risk management culture across business practices
  • Self-motivated along with the ability to bring projects and reporting to conclusion
  • Strong Microsoft Office knowledge; specifically Microsoft PowerPoint and Excel
Preferred Competencies:
  • Financial service experience and securities industry practices
  • Bachelor's degree; specifically in Accounting, Finance, Business Administration or related field
You demonstrate these behaviors:
  • Curious: Constantly learns more about our processes as well as the processes of businesses we support.
  • Results Oriented : Delivers on individual goals and visibly participates in delivering on team goals.
  • Managing Change : Seizes opportunities to influence the future direction of an organizational unit or the overall business.
  • Overcome barriers/Initiative: Proactively addresses obstacles and Identifies creative solutions.
  • Interpersonal Effectiveness : Notices and accurately interprets what others are feeling, based on their choice of words, tone of voice, expressions, and other nonverbal behavior.
  • Relationship Oriented : Thrives in an environment of strong collaboration and partnership with business partners, coworkers and managers.


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