Onsite Testing - Branch Exams Tester

Full Time | Dallas, NORTH CAROLINA | 7 days

Job Summary

Full Time
Dallas
Bank of America

$12,364 Average salary of similar jobs | Check Salary...

Job Description


Job Description:

The Testing Specialist will be responsible for conducting and, ultimately, leading the onsite risk-based compliance examinations of OSJ's and Branch Offices of Merrill Lynch brokerage offices throughout the U.S. in compliance with the written examination standards. Extensive travel required to conduct reviews in individual non-supervisory branch offices. Ensure risks are appropriately addressed; best practices and process improvements are implemented. Adverse trends and risks are identified, communicated, and resolved. Complete special and ad hoc reviews and projects as identified or assigned in a quality and timely manner.


The Testing Specialist, under supervision, conducts independent transactional and process testing on a team in support of needs identified by Compliance and Operational Risk Officers. The Testing Specialist is accountable for quality testing execution, reporting and analysis of results. The Testing Specialist contributes to the identification of themes and trends at the front line unit, control function and enterprise level. This role is an individual contributor in the Test Execution function.

Required Skills:

  • 5+ years of retail brokerage compliance or supervisory experience
  • Willingness to travel domestically and internationally up to 50%
  • Must have FINRA Series 7, 66, and SIE
  • Highly organized, detail-oriented, and self-motivated

Desired Skills:

  • Excellent written and verbal communication skills

Posting Date: 09/09/2019

Location:
Newark, DE, Deerfield III, 655 Paper Mill Rd,
Jacksonville, FL, BANK OF AMERICA OFFICE PARK, 9000 SOUTHSIDE BLVD BLDG 200,
Charlotte, NC, BANK OF AMERICA CORPORATE CENTER, 100 N TRYON ST,
Wilmington, NC, WILMINGTON DOWNTOWN BC, 319 N 3RD ST,
Dallas, TX, DALLAS INFOMART, 1950 N STEMMONS FWY,
- United States

Travel: Yes, 50% of the time


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