Our client, a leading investment bank, is looking to add a talented Vice President of Compliance, Monitoring & Testing to their growing team. In this role, you'd have the opportunity to strategically streamline/enhance their regulatory framework, oversee compliance monitoring & testing, centralize their in-house system, and liaise cross functionally with internal business heads.
The firm offers excellent exposure & autonomy, and has a reputable reputation in the market.
Responsibilities:
- Execute the annual Compliance testing and monitoring plan
- Lead testing engagements, sometimes concurrently and independently, from scoping to final workpapers and report issuance.
- Prepare workpapers for each test in accordance with firm standards.
- Prepare comprehensive reports for management that highlights the scope, testing approach and the overall results and findings of the compliance testing review.
- Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of report issuance.
- Oversee remediation of gaps identified in the testing process and track issues to closure
Requirements:
- BA/BS, or a similar degree, required.
- 7 or more years of experience in, with a registered US broker dealer or regulator, Compliance testing a plus.
- JD desirable but not required