Associate - Compliance and Ops Risk Control Testing Quality Review

Job Summary:

As an Internal Quality Reviewer within the Chief Administrative Office Internal Quality Review Team, you will play a crucial role in supporting the review of Substantive Testing, Control Evaluations, SOX/CCAP Reviews & Issue Validation Testing performed for the Firm globally by confirming testing activities are completed as required in Monitoring & Testing Standards and Procedures. You will work closely with testing team members and peers to execute quality assessments and enhance assessment processes through continuous improvement initiatives and by determining the root cause of themes and trends observed while performing quality reviews. Your analytical thinking and problem-solving skills will be key in identifying control coverage gaps and driving remediation of control issues. role will be integral in ensuring a cohesive and efficient testing framework, contributing to the seamless delivery of quality outcomes.

Job Responsibilities:

• Assist in the execution of testing activities by performing internal quality reviews to ensure compliance with established timelines and standards

• Collaborate with team members to identify and utilize data sources, minimizing reliance on external stakeholders

• Support the identification of process gaps and contribute to the development of solutions for improvement

• Ensure adherence to SOX and other regulatory frameworks, maintaining accuracy and diligence in all assessments

• Communicate effectively, build and sustain strong relationships with peers and stakeholders, providing updates on assessment progress and addressing any issues

• Engage in Testing Manager calibration sessions to share key findings and best practices and facilitate or participate in refresher training sessions to reinforce testing procedure requirements

• Consider emerging and key business risks during review, and provide recommendations for improvements and identify opportunities for efficiency

• Strong understanding of control environment of the assigned function with experience in evaluating the adequacy and effectiveness of controls in the Finance domain, as well as conducting control testing

• Automate monthly management reporting using Alteryx workflows, ensuring efficient, accurate, and timely delivery of insights to leadership.

• Develop and maintain Tableau dashboards to visualize key metrics, trends, and outcomes, supporting data-driven decision-making.

• Conduct root-cause and impact analysis on testing failures, exceptions, and quality defects; propose practical remediation actions and process improvements to increase efficiency and reduce repeat findings.

• Create executive-ready materials (reports and presentations) and present concise narratives to leadership, connecting data-driven insights with risk implications, control maturity, and recommended actions.

Required qualifications, Capabilities & Skills: 

• Bachelor’s degree in business administration, Information Technology, or a related field preferred

• Minimum 5 years of relevant experience in assessments, evaluations, quality review or a related field, with exposure to control testing, compliance or audit preferred

• Experience in applying existing standards and procedures, utilizing data and reporting tools to support assessment outcomes

• Capability to conduct thorough quality reviews, ensuring comprehensive analysis, documentation, and alignment with objectives

• Proven ability to execute assessments of testing activity quality, ensuring accuracy and adherence to timelines, with a focus on continuous improvement and error reduction

• Knowledge of risk management and control evaluation frameworks, with a willingness to learn and develop

• Ability to adapt to new tools, technologies and guidelines, leveraging dashboards and available information to perform and improve assessment processes and outcomes

• Experience designing and automating complex reporting and analytics workflows using tools such as Alteryx, Tableau, and Python, including data preparation, transformation, validation, and delivery of executive-ready insights from multiple data sources.

• Proficiency in utilizing Project Management methodologies, tools, and techniques to lead and manage aspects of the project management lifecycle.