Compliance Quality Assurance Lead Testing Analyst – Fiduciary Oversight and Testing

Administer and execute testing activities within the Independent Risk Review and Assessment (IRRA) second line organization

Partner with WCIB Business Units and Risk, Compliance, and Audit professionals to create, implement, maintain, review, and oversee an effective risk management framework

Complete projects and activities confirming compliance with fiduciary/trust requirements and applicable federal, state, and local laws and regulations

Identify control and process weaknesses through testing activities

Partner with Business Units and Risk Management groups to recommend and influence solutions that mitigate compliance risks

Communicate testing results to the Manager, including well-written draft reports

Respond to and elevate significant risks as appropriate

Provide oversight, coaching, and feedback regarding work completed by supporting Analysts

Requirements

• Bachelor's degree, or equivalent work experience
• Typically, more than six years of applicable experience
• Strong knowledge of fiduciary principles, trust administration, discretionary investment management, and applicable fiduciary laws and regulations
• Experience supporting or overseeing fiduciary and investment-related businesses, including Personal Trust, Institutional Trust, Corporate Trust, Asset Management, Registered Investment Adviser (RIA), or Fund Services activities
• Background in legal, compliance, risk management, internal audit, regulatory oversight, or fiduciary services within a financial institution
• Experience conducting risk assessments, audits, compliance reviews, testing, or regulatory examinations of fiduciary and investment advisory activities
• Ability to identify and evaluate fiduciary, regulatory, operational, and investment-related risks, controls, and governance practices
• Strong analytical, critical thinking, project management, and problem-solving skills
• Excellent written and verbal communication skills, with the ability to present complex regulatory and risk matters to senior leaders and stakeholders
• Juris Doctor (JD) and/or relevant professional certifications preferred

Core Competencies

Demonstrates expertise in fiduciary principles, risk management, and compliance within financial institutions, with a strong ability to conduct risk assessments and communicate findings effectively to stakeholders.

Highest-signal resume keywords

• Fiduciary Principles
• Risk Management
• Compliance Reviews
• Project Management
• Analytical Skills

ATS Optimization Keywords

Hard Skills

• Risk Assessment
• Regulatory Examinations
• Trust Administration
• Investment Management
• Control Evaluation

Soft Skills

• Critical Thinking
• Problem-Solving
• Written Communication
• Verbal Communication
• Coaching

Certifications & Qualifications

• Juris Doctor (JD)
• Professional Certifications

Industry Keywords

• Fiduciary Laws
• Investment Advisory
• Compliance
• Internal Audit
• Regulatory Oversight