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About the role
Key responsibilities & impact- Execute risk-based compliance testing engagements, including walkthroughs, sample selection, and detailed testing procedures
- Evaluate the design and operating effectiveness of key controls through hands-on testing
- Document testing activities, evidence, and conclusions in the company GRC platform
- Test adherence to internal policies, procedures, and applicable regulatory requirements
- Analyze testing results to identify control deficiencies, exceptions, and emerging risks
- Document findings and draft testing reports summarizing procedures performed, results, and issues identified
- Work with Audit Services, Risk, and Business Unit Compliance teams under guidance to support testing execution
- Support the US Segment as part of the Global Compliance Testing Team
Requirements
What you’ll need- Bachelor’s degree in Business, Finance, Accounting, or related field, or equivalent experience
- 3–5 years of experience in compliance, risk management, audit, or a related financial services role
- Strong organizational, analytical, and problem-solving skills
- Strong written and verbal communication skills
- Ability to clearly document work performed
- High attention to detail and strong ethical standards
- Ability to work independently and collaboratively within a team environment
- Working knowledge of financial services industry practices and regulatory requirements
- Familiarity with broker-dealer and/or insurance/annuity regulatory frameworks, such as SEC, FINRA, and state insurance regulations
- Experience using a GRC platform, such as Archer or similar
- Exposure to data analytics tools or techniques used in compliance testing
- Experience performing control testing, including walkthroughs and sample-based testing
Benefits
Comp & perks- Incentive programs and incentive compensation tied to business and individual performance
- Health insurance
- Dental insurance
- Mental health benefits
- Vision insurance
- Short- and long-term disability insurance
- Life and AD&D insurance coverage
- Adoption/surrogacy benefits
- Wellness benefits
- Employee/family assistance plans
- Retirement savings plans, including pension/401(k) savings plans
- Global share ownership plan with employer matching contributions
- Financial education and counseling resources
- Up to 11 paid holidays in the U.S. each year
- 3 personal days each year
- 150 hours of vacation each year
- 40 hours of sick time each year, or more where required by law
- Statutory leaves of absence
- Hybrid working arrangement