VP- Compliance Testing


Job #: 15787
Status: Active
Title: VP- Compliance Testing
Job Location: NYC, NY
Base Compensation: $110,000 — $150,000
Total Compensation: $130,000 — $170,000
Is Employer Willing to Relocate?: No
Employment Type: Full Time / Direct Hire
Job Categories: Audit
Industries: Banking


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.


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: • 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
Total Years of Experience: 5-6+


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