Compliance Testing Specialist

Compliance Testing Specialist

Industry: Global Banking & Financial Services

Location: Toronto, Ontario

Work Setup: Hybrid

Engagement Type: Contract

About the Opportunity: We are supporting a leading global banking institution seeking experienced Compliance Testing Consultants to assist with an enterprise-wide regulatory compliance assessment initiative.This opportunity is suited to professionals with a strong understanding of financial services regulations, particularly those governing Investment Banking and Capital Markets, who can independently evaluate compliance risks and the effectiveness of established controls.The consultants will work across different business functions, conducting structured compliance reviews, assessing regulatory obligations, identifying control weaknesses, and communicating findings to key stakeholders.The position requires someone who is comfortable performing detailed, hands-on testing rather than exclusively providing compliance advice or overseeing testing teams.

What you'll do:

• Own testing assignments end to end, using a risk-based approach
• Work out what a regulation actually requires, and decide what needs to be tested and how deep to go
• Review how regulatory obligations are linked to the controls meant to address them
• Run walkthroughs with business, compliance, risk and control teams to understand how processes operate in practice
• Build test steps, pull samples and examine evidence to judge whether controls are well designed and working as intended
• Write up your procedures, results and conclusions clearly, and raise potential issues with stakeholders early
• Produce concise reports for senior management
• Log findings in the client's issue-tracking system and support the follow-up on remediation
• Help with annual and quarterly test planning, coverage reviews, quality checks and management reporting
• Look into data quality and ownership problems, including gaps in regulatory and control mapping
• Work alongside advisory, governance, internal audit and other testing colleagues while juggling several engagements at once

What you bring:

• 5 to 7 years in compliance testing, monitoring, regulatory compliance, controls or assurance
• A solid grounding in investment banking or capital markets, and in the regulations and controls that apply there
• Hands-on experience running risk-based testing or second-line monitoring
• The ability to read regulatory text and judge whether controls meet it
• Practical experience with walkthroughs, sampling, evidence review and writing up test results
• Sound judgment, strong analytical thinking and polished written communication
• Confidence working with stakeholders across business, compliance, risk and audit
• The independence to manage complex work and shifting priorities
• Working knowledge of Microsoft Office

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