Senior Compliance Testing Analyst

. Execute independent, risk-based compliance testing and validations as part of the second line of defense .

Posted 10/7/2026full-timeUnited StatesSenior💰 $72,280 - $117,520 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance testing, regulatory analysis, and risk management within a banking environment, with strong analytical and project management skills. Proficient in using data analytics and AI-enabled tools to enhance testing effectiveness and ensure adherence to regulatory standards.

Highest-signal resume keywords

Compliance TestingRegulatory ComplianceData AnalyticsRisk ManagementProject Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance TestingRegulatory AnalysisRisk ManagementData AnalyticsAuditValidationOperational ProceduresTesting MethodologiesAnalytical ResearchDocumentation

Soft Skills

Analytical SkillsOrganizational SkillsCommunication SkillsAttention to DetailIndependent Work

Tools & Technologies

Microsoft OfficeExcelWordPowerPointAI-Enabled Tools

Certifications & Qualifications

FINRA Series 7FINRA Series 63FINRA Series 24

Industry Keywords

Banking RegulationsConsumer Protection LawsOperational ControlsCompliance ControlsRegulated Environment

About the role

Key responsibilities & impact

Execute independent, risk-based compliance testing and validations as part of the second line of defense
Assess regulatory compliance and the effectiveness of operational procedures and controls across bank businesses and operational units
Perform compliance testing and assist with validations in a cross-functional capacity
Test commercial, operations, wealth, and corporate functions
Execute independent testing of compliance controls and systems
Provide expertise and guidance on compliance controls and processes
Research banking regulations, laws, policies, procedures, and consumer protection laws
Develop test steps tied to regulatory requirements
Perform complex analysis and testing of business-line controls and processes
Summarize testing results and identify areas for improvement
Assist management in writing and presenting findings
Oversee and/or independently perform assigned work end to end
Execute complex and non-standard assignments
Conduct analytical research and analysis during testing engagements
Work with Compliance and business-line partners
Identify potential errors, escalate matters, and validate findings
Document research and communicate results to Compliance Testing management and clients
Keep current on regulatory changes, policies, standards, and emerging trends
Contribute to initiatives, process reviews, risk identification, knowledge transfer, team development, and mentorship

Requirements

What you’ll need

Undergraduate degree or equivalent work experience
5+ years of experience
Experience in compliance testing, audit, risk management, or regulatory compliance within a regulated environment
Experience leading and executing testing, validation, audit, or monitoring activities
Experience using data analytics and AI-enabled tools to improve testing effectiveness and identify regulatory risks
Strong analytical, organizational, and project management skills with a high attention to detail
Excellent verbal and written communication skills
Ability to manage multiple priorities and work independently in a fast-paced environment
Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint
FINRA Series 7, 63, and/or 24 licenses are a plus
Occasional domestic travel
Ability to perform sedentary work, multiple tasks, operate standard office equipment, sit, concentrate for long periods, and read, write, and comprehend instructions continuously

Benefits

Comp & perks

Variable compensation/incentive awards, including eligibility for cash and/or equity incentive awards
Health and well-being benefits
Savings and retirement programs
Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO
Banking benefits and discounts
Career development
Reward and recognition
Regular career, development, and performance conversations
Online learning platform
Mentoring programs
Training and onboarding sessions
Competitive benefits plan