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Compliance Testing Advisor – Lending (Remote)

M&T Bank

This is a Full-time position in wilmington, de posted November 25, 2021.

Overview:

The Compliance Testing Advisor is responsible for the managing, leading, and execution of compliance testing engagements utilizing a risk-based approach to ensure the Bank’s compliance with applicable laws, rules & regulations. The Compliance Testing Advisor is also responsible for the oversight and coaching of team members to deliver a quality product in line with department standards. This role supports continued enhancements to testing methodology, ongoing stakeholder engagement, and overall promotion of the Compliance Testing Group within the organization.

Position Responsibilities:

  • Maintain a comprehensive working knowledge of lending related regulatory requirements to ensure an appropriate level of testing
  • Interface with all layers of the organization independently to obtain information related to processes and controls. Including building a working relationship with Internal Audit, Business Units, First Line Risk Officers, and Corporate Compliance Portfolio Managers
  • Independently perform and document compliance testing in accordance with department and professional standards.
  • Oversee planning and execution of testing engagements and other assignments, including multiple simultaneous testing engagements across a defined testing portfolio.
  • Ensure testing engagements and other assignments are completed within established timeframes, and/or provide early escalation of anticipated delays to senior management.
  • Encourage integrated testing approaches with the data & systems team and make suggestions on testing approaches to improve the efficiency and effectiveness of testing procedures.  
  • Draft and communicate substantive testing findings and control execution weaknesses to all levels of compliance and business unit management under the direction of a Manager.
  • Review test findings with testing management and other compliance officers to confirm validity of issues; make recommendations to Senior Compliance Testing Manager regarding the appropriate tier rating of identified issues.
  • Lead collaborative discussions with all levels of management where judgment and opinions are effectively challenged.
  • Provide feedback to team members regarding assessments of business unit process and controls and respective risk focused input on effectiveness and efficiency of testing approach
  • Review work papers of all team members and provide related feedback, coaching, and mentoring.
  • Serve as knowledge resource for all staff.
  • Participate in special projects and department wide initiatives, as necessary.
  • Understand and adhere to the Company’s risk and regulatory standards, policies, and controls in accordance with the Company’s Risk Appetite. Identify risk-related findings needing escalation to a Manager.
  • Promote an environment that supports diversity and reflects the M&T Bank brand.
  • Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
  • Complete other related duties as assigned.

Nature and Scope:

The position works under the direction of the Compliance Testing Manager and is required to exercise independent judgment and discretion utilizing a risk-based approach. The position collaborates extensively with (a) Corporate Compliance subject matter deputies (PCMs) to gain an appropriate understanding of applicable regulatory requirements, (b) business unit staff, first line risk officers and PCMs to understand workflows and processes, and (c) Internal Audit as a resource for review and coordination of testing plans and methods. The position will interact with external contacts including Bank Supervisors/Examiners and peers at other institutions.    


Education/Experience Required:

  • Bachelor’s Degree in related field.
  • 6 years’ experience in compliance, legal, audit, risk or other relevant function,
  • OR in lieu of degree,
  • A combined minimum 10 years higher education and/or work experience, including 6 years in compliance, legal, audit, risk or other relevant function
  • Demonstrated coaching experience.
  • Ability to read and understand laws, regulations, and common law applicable to subject matter.
  • Ability to exercise judgment and sound discretion, and understand when Corporate Compliance Management guidance is needed.
  • Strong, comprehensive understanding of financial services functions.
  • Ability to thrive in a collaborative, team-oriented environment.
  • Strong interpersonal skills, having the ability to effectively communicate both orally and in writing to mid-level management.
  • Strong organizational and analytical skills.
  • Possess regulatory subject matter expertise related to aspects of the portfolio.
  • Strong proficiency with spreadsheet, presentation, and word processing software.

Education/Experience Preferred:

  • Related certifications (CPA, CIA, CISA, CAMS, CRCM or similar certifications)
  • MBA or Master’s Degree in an appropriate field

Location

Wilmington, Delaware, United States of America

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