VP of Compliance Testing
Salary $140000 - $175000 per year
Location New York
Consultant Robert Moseman
Date posted June 22, 2017
A market-leading international Investment Bank requires a Compliance Officer to cover the Testing initiative.
Compliance VP - Testing
The role will involve providing guidance and advisory perspective to the businesses, performing different reviews to ensure observance to business and Compliance policies and standards, and escalating any regulatory or reputational concerns to management.
A keen understanding of the testing environment and regulatory landscape is required and prior experience in providing compliance advice generated from testing results is a must.
Duties will entail –
Planning and overseeing the carry-out of compliance reviews in accordance to review schedules and regulatory obligations
Authenticating compliance against already-established policies and procedures and appropriate rules & regulations
Present test findings to Business and Compliance Administration
Uphold a comprehensive understanding of the firm’s business and regulatory framework
Help serve as a primary point of contact for the bank’s Advisory Compliance team
Suitable candidates will possess -
Five + years of relevant in compliance, regulatory, and audit, either in Investment Banking or from a capital markets background
Strong knowledge of pertinent FINRA, SEC, and other regulatory rules and regulations
Excellent written and verbal communication skills
Energetic, articulate, and capable of speaking comfortably and presenting in front of group