Senior Compliance Analyst:
I.
Job Summary:
The Senior Compliance Analyst is responsible for conducting testing that evaluate the established internal
controls designed to manage the Company’s most significant risks. This position will assist the IT Compliance
Manager in the planning and execution of risk and control initiatives. This position will develop test steps to
evaluate controls, as well as gather and analyze information as necessary to evaluate the effectiveness and
adequacy of the controls.
The Senior Compliance Analyst will also be responsible for the interpretation of the test results and the oral
and written communication of the testing results. In this role, the Senior Compliance Analyst will be the dayto-day leader of the IT SOX and PCI testing projects and will be responsible for ensuring other Compliance
Analysts are adequately supervised to ensure the work is completed on time and in a quality manner. The
Senior Compliance Analyst will also be responsible for training less experienced analysts in the evaluation of
internal controls.
II.
Essential Responsibilities:
Conducting and Planning Compliance Testing
 Manages day-to-day compliance activities to ensure they are conducted in accordance with Lowe’s
methodology and that milestone dates are met and projects are completed on time
 Applies basic knowledge of IT, Operations, Finance, and Analysis to ensure efficiency throughout the
compliance engagements. Utilizes internal resources to assist when compliance testing topics require
intermediate to advanced knowledge
 Performs preliminary scoping, which includes documenting processes via process maps and flowcharts
 Identifies key control points within a process/activity and develops test steps designed to evaluate the
adequacy and effectiveness of those internal controls
 Ensures the accuracy and consistency of information relied upon throughout the compliance evaluation
process (e.g., flowcharts, risk assessment, work papers, and testing results)
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Testing and Evaluating Controls
 Assesses whether internal controls are properly designed, implemented, and working effectively with
limited supervision from the Manager.
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 Documents weakness in control design based on analysis performed and writes formal reports with the
level of quality necessary for an executive audience
 Evaluates testing results to ensure procedures and findings adequately address risks and expand testing
procedures to address any new risks identified
 Demonstrates knowledge of the compliance process and understanding of how interactions and
control failures impact the business objective
 Ensures in-scope risks and controls are identified in the compliance risk assessment during the planning
phase and are appropriately evaluated and tested
Project Leadership
 Discusses project expectations and communicates with assigned staff throughout the compliance
testing engagement
 Identifies developmental opportunities and provides timely, candid, and constructive feedback
throughout the project. Delivers on the job training and encourages staff development through the use
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of different testing and analytical tools
Reviews staff work and provides timely feedback if documentation is not relevant, thorough, accurate,
and/or adequately supported
Structures staff assignments and workloads based on skills and developmental needs
Manages client relationships professionally by maintaining consistent dialog and open communications
throughout the compliance process. Provides periodic updates to make management aware of
potential concerns
Facilitates on-going, open dialogue with compliance project team to encourage communication so
information and ideas from multiple viewpoints are shared
Communicates project status, concerns, or issues to the Management in a timely manner
Assists in the development of research skills amongst team members
Coaches others on regulations impacting the process under review
Coaches the team with creating detailed and accurate process maps pertaining to the controls topic.
Ensures the team has a thorough understanding and illustrates all key components of the business
processes.
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Required Minimum Qualifications:
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Bachelor’s Degree in Accounting / IT or 4 years of equivalent business experience
Certified Information Systems Auditor (CISA)
4+ years of IT audit (internal/external) experience or relevant business experience
Demonstrated experience managing compliance project teams
Preferred Qualifications:
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Master’s Degree in business-related field
PMP, CISSP, CFE, or CIA certifications
PCI QSA or ISA
Retail business experience