Testing and Monitoring Analyst II (Invest)

Testing And Monitoring Analyst II For Invest

Ally Financial only succeeds when its people do - and that's more than some clich people put on job postings. We live this stuff! We see our people as, well, people - with interests, families, friends, dreams, and causes that are all important to them. Our focus is on the health and safety of our teammates as well as work-life balance and diversity and inclusion. From generous benefits to a variety of employee resource groups, we strive to build paths that encourage employees to stretch themselves professionally. We want to help you grow, develop, and learn new things. You're constantly evolving, so shouldn't your opportunities be, too?

The Testing And Monitoring Analyst II for Invest operates with a high degree of independence and is responsible for conducting comprehensive reviews of key processes and controls within the Invest business line. Core responsibilities include identifying operational weaknesses, assessing risk within specific areas, determining training needs, and detecting control deficiencies. The Analyst II will document and report review findings promptly, provide constructive feedback, and recommend process improvements. This role requires close collaboration and consultation with Managers and Invest Business Line Leaders to address current control issues and related activities. Additional duties may include managing issue tracking and overseeing other projects as assigned. The ideal candidate demonstrates proficiency in executing efficient and effective tests aligned with risk, ensuring compliance with Testing and Monitoring methodology and all relevant standards.

Conduct ongoing testing and monitoring of Invest processes to drive oversight of operational weaknesses, risks, and control deficiencies with little management oversight.

Initiate and facilitate walk through meetings with Invest teams to capture necessary process information for control testing.

Manage and maintain the tracking of action items from testing and ensure items are remediated timely and procedure updates are made where necessary.

Participates in meetings to report progress of testing, Action Items and Issue Validations.

Maintains accurate and complete working papers that clearly document all findings and possible risk.

Complete one-off / Ad hoc reviews for Invest as needed.

Maintain and reinforce the core principles of the Enterprise Testing and Monitoring Policy and all related Policies.

Support Issue Management process by validating Issues for completeness.

Assist management with duties as necessary.

1+ years of experience in Brokerage Operations or Banking Risk Management (e.g., testing and monitoring, financial controls / SOX, or audit) required.

FINRA Series 7 & 63 preferred.

Strong understanding of Invest FINRA rules and regulations and Invest operations processes highly preferred.

High level of problem-solving capability and research-oriented skills.

Well-organized and thorough work ethic.

Understanding of Financial Services industry, with an emphasis on Risk Management; as well as related laws, rules, and regulations.

Strong Communication skills both written and verbal.

Strong skills in MS Excel and PowerPoint.

Ally's compensation program offers market-competitive base pay and pay-for-performance incentives (bonuses) based on achieving personal and company goals. But Ally's total compensation - or total rewards - extends beyond your paycheck and is designed to support and enrich your personal and professional life, including :

Time Away : competitive holiday and flexible paid-time-off, including time off for volunteering and voting.

Planning for the Future : plan for the near and long term with an industry-leading 401K retirement savings plan with matching and company contributions, student loan and 529 educational assistance programs, tuition reimbursement, and other financial well-being programs.

Supporting your Health & Well-being : flexible health and insurance options including dental and vision, pre-tax Health Savings Account with employer contributions and a total well-being program that helps you and your family stay on track physically, socially, emotionally, and financially.

Building a Family : adoption, surrogacy, and fertility support as well as parental and caregiver leave, back-up child and adult / elder day care program and childcare discounts.

Work-Life Integration : other benefits including LifeMatters Employee Assistance Program, subsidized and discounted Weight Watchers program and other employee discount programs.

Ally Financial is a customer-centric, leading digital financial services company with passionate customer service and innovative financial solutions. We are relentlessly focused on "Doing it Right" and being a trusted financial-services provider to our consumer, commercial, and corporate customers. For more information, visit www.ally.com. Ally is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to age, race, color, sex, religion, national origin, disability, sexual orientation, gender identity or expression, pregnancy status, marital status, military or veteran status, genetic disposition or any other reason protected by law. Where permitted by applicable law, must have received or be willing to receive the COVID-19 vaccine by date of hire to be considered, if not currently employed by Ally. We are committed to working with and providing reasonable accommodation to applicants with physical or mental disabilities. For accommodation requests, email us at work@ally.com. Ally will not discriminate against any qualified individual who is capable of performing the essential functions of the job with or without reasonable accommodation.

Base Pay Range : An individual's position in the range is determined by the scope and responsibilities of the role, work experience, education, certification(s), training, and additional qualifications. We review internal pay, the competitive market, and business environment prior to extending an offer. Emerging : 55000 Experienced : 67500 Expert : 80000 Incentive Compensation : This position is eligible to participate in our annual incentive plan