Senior Testing Lead

Job Description:

The Senior Test Lead may direct entry-level testers, test leaders or directly manage a specialty function. This role is accountable for accurate and timely test execution and/or supports operational and administrative initiative activities related to a Testing Functional area including multiple stakeholders. This role interacts extensively with internal or external contacts to identify, research, analyze and resolve complex problems.

Daily responsibilities of the Senior Test Lead may include execution of test scripts, identifying and documenting defects and providing daily updates to test leads and managers as needed. This role works closely with Risk, Compliance, and SMEs to conduct testing.

The Senior Test Lead has intermediate knowledge of test execution and system(s) of record required, and is able to translate business strategy into work programs and processes. This role may contribute and/or participate in multiple special projects. The Senior Test Lead interacts extensively with internal and/or external contacts to identify, research, analyze and resolve complex problems. This role translates business strategy into work programs and processes as well as operates multiple functions or disciplines with leadership attributes.

The Senior Testing Lead will be responsible for conducting and, ultimately, leading the onsite risk-based compliance examinations of OSJ's and Branch Offices of Merrill Lynch brokerage offices throughout the U.S. in compliance with the written examination standards. Extensive travel required to conduct reviews in individual non-supervisory branch offices. Ensure risks are appropriately addressed; best practices and process improvements are implemented. Adverse trends and risks are identified, communicated, and resolved. Provide Compliance support to business partners and within the Compliance Department. Complete special and ad hoc reviews and projects as identified or assigned in a quality and timely manner.

The Senior Testing Lead under supervision, conducts independent review of brokerage transactional and processes on a team in support of needs identified by Compliance and Operational Risk Officers. Accountable for quality onsite testing execution, reporting, and analysis of results. The Senior Testing Lead contributes to the identification of themes and trends at the front-line unit, control function and enterprise level. This role is an individual contributor.

The Senior Test Lead may direct entry-level testers, test leaders or directly manage a specialty function. This role is accountable for accurate and timely test execution and/or supports operational and administrative initiative activities related to a Testing Functional area including multiple stakeholders. 

Daily responsibilities of the Senior Test Lead include execution of test scripts designed to identify compliance risk, supervision deficiencies, and process gaps as relates to brokerage supervision. Execution includes identifying and documenting defects as well as providing daily updates to test leads and managers as needed. This role works closely with Risk, Compliance, and SMEs to conduct testing. 

The Senior Test Lead has intermediate knowledge of compliance test execution and system(s) of record required and is able to translate business strategy into work programs and processes. This role may contribute and/or participate in multiple special projects. 

Qualifications and experiences:
-Minimum of 3+ years work experience
-Bachelor’s Degree or equivalent experience
-Ability to handle multiple projects in a dynamic environment
-Ability to test across multiple lines of business
-Microsoft Suite of products

Skills and competencies:
-Communicates with Impact
-Acts with Courage and Conviction
-Strong Business Acumen
-Drives Operational Excellence
-Develops Strong Talent
-Applies Critical Thinking
-Demonstrates Attention to Detail
-Demonstrates Integrity
-Executes Independent Compliance Risk Testing or equivalent experience
-Applies Knowledge of Basic Sampling Methodologies or equivalent experience
-May Give Feedback

Required Candidate Qualifications:
FINRA licenses SIE, 7, 66, 9, and 10 (or equivalent) 
Minimum of 3+ years brokerage related work experience
Bachelor’s Degree or equivalent experience
Ability to handle multiple projects in a dynamic environment
Ability to test across multiple lines of business
Extensive functional or professional knowledge
Microsoft Suite of products
Desired: working knowledge of CMDM system

Shift:

1st shift (United States of America)

Hours Per Week: 

40