Testing and Monitoring Analyst II; Invest

Career Area:
Risk |

Location:

1100 Virginia Drive, PA; 2911 Lake Vista Drive, TX;
Charlotte, North Carolina | Working time:
Full time | Remote:
No

Ally and Your Career Ally Financial only succeeds when its people do - and that’s more than some cliché people put on job postings. We live this stuff! We see our people as, well, people - with interests, families, friends, dreams, and causes that are all important to them. Our focus is on the health and safety of our teammates as well as work‑life balance and diversity and inclusion.

From generous benefits to a variety of employee resource groups, we strive to build paths that encourage employees to stretch themselves professionally. We want to help you grow, develop, and learn new things. You’re constantly evolving, so shouldn’t your opportunities be, too?

Ally designates roles as (1) fully on‑site, (2) hybrid, or (3) fully remote. Hybrid roles are generally expected to be in the office a certain number of days per week as indicated by your manager. Your hiring manager will discuss this role’s specific work requirements with you during the hiring process. All work requirements are subject to change at any time based on leader discretion and/or business need.

The Testing and Monitoring Analyst II for Invest operates with a high degree of independence and is responsible for conducting comprehensive reviews of key processes and controls within the Invest business line. Core responsibilities include identifying operational weaknesses, assessing risk within specific areas, determining training needs, and detecting control deficiencies. The Analyst II will document and report review findings promptly, provide constructive feedback, and recommend process improvements.

This role requires close collaboration and consultation with Managers and Invest Business Line Leaders to address current control issues and related activities. Additional duties may include managing Issue pnoun_1 and overseeing other projects as assigned. The ideal candidate demonstrates proficiency in executing efficient and effective tests aligned with risk, ensuring compliance with Testing and Monitoring methodology and all relevant standards.

• Conduct ongoing testing and monitoring of Invest processes to drive oversight of operational weaknesses, risks, and control deficiencies with little management oversight.
• Initiate and facilitate walk‑through meetings with Invest teams to capture necessary process information for control testing.
• Manage and maintain the tracking of action items from testing and ensure items are remediated timely and procedure updates are made where necessary.
• Participate in meetings to report progress of testing, action items and issue validations.
• Maintain accurate and complete working papers that clearly document all findings and possible risk.
• Complete one‑off/ad‑hoc reviews for Invest as needed.
• Maintain and reinforce the core principles of the Enterprise Testing and Monitoring Policy and all related policies.
• Support Issue Management process by validating issues for completeness.
• Assist management with duties as necessary.

• 1+ years of experience in Brokerage Operations or Banking Risk Management (e.g., testing and monitoring, financial controls/SOX, or audit) required
• FINRA Series 7 & 63 preferred
• Strong understanding of Invest FINRA rules and regulations and Invest operations processes highly preferred
• High level of problem‑solving capability and research‑oriented skills.
• Well‑organized and thorough work ethic
• Understanding of Financial Services industry, with an emphasis on Risk Management; as well as related laws, rules, and regulations.
• Strong communication skills both written and verbal.
• Strong skills in MS Excel and Power Point

Ally’s compensation program offers market‑competitive base pay and pay‑for‑performance incentives (bonuses) based on achieving personal and company goals. Our Total Rewards program includes industry‑leading compensation and benefits plus additional incentives that are designed to meet your needs and those of your family so you can get the most out of your career and…