• Serves as the examiner in charge of Compliance Testing reviews assigned. • Work with the Senior Manager and Department Head to establish the objectives, scope, testing approach and sampling techniques to be utilized during testing. • Schedule and participate in any commencement and exit meetings with business/stakeholders for compliance reviews. • Develop and distribute Announcement and Documentation Request Memos for scheduled reviews. • Perform and oversee compliance tests conducted by Compliance Testing team members. • Meet with the business/stakeholders to ensure the factual accuracy of issues raised. • Prepare “Compliance Draft Review Reports” that summarize results, findings, and recommendations for proposed enhancements for issues noted. • Obtain adequate management action plans with respect to any findings. • Document findings and management responses/action plans in Archer. • Perform follow-up to ensure timely completion of corrective actions and validate closure of issues. • Perform Quality Assurance review of testing conducted by the Compliance Testing Team members. • Assist with the creation and maintenance of departmental Key Performance Indicators and Key Risk Indicators. • Assist with the development of the Annual Compliance Testing Plan. • Assist in the Annual Performance Evaluation of Team Members. • Provide thoughts on continued process improvements and updates to the Compliance Testing Methodology, Procedures and workpaper templates. • Stay informed of changing regulatory requirements and the firm’s business model that might impact the firm’s compliance framework and the Compliance Testing plan. • Complete all required compliance and other firm required training. • Maintain knowledge of and adhere to all applicable internal compliance policies and procedures and other internal policies and procedures applicable to the role.