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About the Role

The Compliance Testing Advisor manages, leads, and executes compliance testing engagements using a risk-based approach to ensure the Bank's compliance with applicable laws, rules, and regulations. This role involves overseeing and coaching team members, supporting enhancements to testing methodology, stakeholder engagement, and promoting the Compliance Testing Group.

Responsibilities

Interface with all layers of the organization independently to obtain information related to processes and controls.
Perform compliance testing in accordance with department and professional standards.
Oversee planning and execution of testing, including multiple simultaneous testing engagements across a defined testing portfolio.
Ensure testing engagements are completed within established timeframes, and/or provide early escalation of anticipated delays to senior management.
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.
Lead collaborative testing team discussions with all levels of management where judgment and opinions are effectively challenged.
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.
Work with business units and compliance groups to ensure consistent understanding of requirements.
Perform system administrative duties such as maintenance, validation, and/or updating in the compliance data management system (Archer).
Review work papers of all team members and provide related feedback, coaching, and mentoring.
Build a working relationship with mid-level Internal Audit, Business Units, and Corporate Compliance Portfolio Managers.
Encourage integrated testing approaches with the data & systems team and make suggestions on testing approaches to improve the efficiency and effectiveness of testing procedures.
Serve as knowledge resource for all staff.
Maintain a comprehensive working knowledge of regulatory requirements to ensure an appropriate level of testing.
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.
Independently document and assess all levels of test scripts.
Participate in special projects and department wide initiatives, as necessary.
Multitask assignments and meet established deadlines.
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.

Requirements

Bachelor's Degree in related field PLUS 6 years’ experience in compliance, legal, audit, risk, or other relevant function, OR in lieu of degree, a combined minimum of 10 years higher education and/or work experience, including 6 years in compliance, legal, audit, risk or other relevant function
Demonstrated coaching/leadership experience.
Institutional Services and Wealth Management experience, especially compliance related to this area, is highly preferred.
Experience building compliance/audit test scripts is highly preferred.
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.

Skills

Compliance testing
Risk-based approach
Coaching
Stakeholder engagement
Testing methodology
Archer
Internal Audit
Business Units
Corporate Compliance
Data & systems
Regulatory requirements
Spreadsheet software
Presentation software
Word processing software

Location

Buffalo, New York, United States of America

Work Type

Hybrid

Experience Level

6 years experience in compliance, legal, audit, risk, or other relevant function
10 years combined higher education and/or work experience (if no degree)

Education Level

Bachelor's Degree in related field
MBA or master’s degree in an appropriate field (preferred)
Related certifications (CPA, CIA, CISA, CAMS, CRCM or similar certifications) (preferred)

Salary/Compensations

$89,600.00 - $149,300.00 Annual (USD)

About the Company

M&T Bank is committed to fair, competitive, and market-informed pay for our employees.

Equal Opportunity

Promote an environment that supports diversity and reflects the M&T Bank brand.