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Job Details

VP- Compliance Testing

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JOB DESCRIPTION
Job #: 15787
Status: Active
Title: VP- Compliance Testing
Job Location: NY-NYC
Mid-Atlantic (DE, DC, MD, NJ, NY, PA, VA & WV)
Job Categories: Accounting ; Audit ; Compliance & Legal
Industries: Banking; Financial Services
Base Compensation:
Low: $110,000       High: $150,000
Total Compensation:
Low: $130,000       High: $170,000
Bonus, Incentives, etc.: Bonus, performance based
Overnight Travel: None Listed
Is Employer Willing to Relocate?: No
Employment Type: Full Time / Direct Hire
 
Why is This a Great Opportunity?
Global investment bank seeks compliance or internal audit professional with compliance exposure to join new group formed for devising, implementing, and overseeing a new compliance testing program.
 
Job Description:
Responsibilities: • Completing and documenting QA and Conformance Testing work, and making recommendations for improving processes across the global Compliance function • Assisting in the execution of the global end to end process for the roll out of the annual Compliance QA and Conformance Testing Program • Working closely with the global team to execute coordinated QA and Conformance Testing amongst the three regions • Assisting with the continuous improvement of the QA and Conformance Testing Program from both an effectiveness and efficiency perspective • Supporting the collection, compilation and communication of Compliance QA and Conformance Testing results • Assisting in the coordination of global QA and Conformance Testing initiatives with relevant stakeholders, including the Regional Heads of Compliance and the Product and Functional Compliance Heads for all regions • Providing strategic support to the Head of the department • Liaising with functional heads within Risk and Control to ensure global consistency in the coverage model
 
QUALIFICATIONS
Mandatory Minimum Qualifications - Must Have: Qualifications: • Bachelor's degree • 5-8+ years of experience in Legal, Compliance or Audit • Strong relevant technical expertise combined with relevant experience and understanding of the investment banking industry related to Compliance Reviews, Conformance Testing, Quality Assurance, Investigations or Audit • Experience in executing testing in a large and complex Investment Banking organization
 
Education: Bachelor's
 
Certifications: None
 
Licenses: None
 
Total Years of Experience: 5-6+
 
Years of Experience in Present Position: 1-2+
 
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