Compliance Monitoring & Testing - AVP

Job Description

A leading financial services organization is seeking an experienced Compliance Monitoring & Testing professional to support its regulatory compliance oversight function.

This role will focus on evaluating compliance controls, identifying regulatory risks, executing independent testing reviews, and recommending improvements to strengthen the organization's compliance framework.

The ideal candidate is a proactive, detail-oriented professional with strong analytical skills, hands-on compliance testing experience, and the ability to manage reviews independently while partnering with senior stakeholders.

Key Responsibilities

Compliance Testing & Risk Assessment

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• Plan, scope, and execute risk-based compliance monitoring and testing reviews across business functions.
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• Evaluate internal controls, regulatory requirements, and compliance risk assessments to determine testing priorities.
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• Identify control weaknesses, regulatory gaps, and areas requiring remediation.
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• Prepare clear, concise testing reports outlining findings, risk implications, and recommended corrective actions.
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• Apply independent judgment when assessing complex compliance issues and determining appropriate solutions.
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Regulatory Oversight & Advisory

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• Monitor changes in financial services regulations and assess their impact on existing compliance controls.
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• Support adherence to applicable regulatory requirements, including prudential standards, BSA/AML, and privacy regulations.
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• Partner with compliance advisory teams and business stakeholders to evaluate regulatory risks and control effectiveness.
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• Contribute to the enhancement of compliance policies, procedures, and risk management practices.
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Program Enhancement & Stakeholder Management

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• Recommend improvements to testing methodologies, reporting templates, and monitoring procedures.
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• Manage testing assignments independently, ensuring accurate deliverables and timely completion.
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• Communicate findings and recommendations to management and relevant business partners.
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• Build effective working relationships across compliance, risk, audit, and business teams.
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• Influence remediation efforts and control improvements without direct management authority.
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Required Qualifications

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• Bachelor's degree required.
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• 3–5 years of experience in compliance testing, compliance monitoring, internal audit, or risk management within financial services.
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• Demonstrated experience developing and executing compliance testing plans.
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• Knowledge of financial services regulations, including prudential requirements, BSA/AML, and privacy obligations.
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• Strong analytical, problem-solving, and regulatory interpretation skills.
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• Excellent written communication skills, including the ability to independently prepare professional testing reports.
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• Ability to manage multiple priorities, identify issues, and drive outcomes with minimal supervision.
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• Advanced proficiency in Microsoft Excel, Word, PowerPoint, and SharePoint.
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Preferred Qualifications

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• Advanced degree such as a JD or MBA.
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• Professional certifications in compliance, auditing, testing, or risk management.
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• Experience interacting with financial services regulators or supporting regulatory examinations.
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• Familiarity with GRC platforms such as Archer.
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• Understanding of financial market infrastructure, clearing and settlement activities, or financial market utilities.
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• Knowledge of Federal Reserve supervisory expectations, including SR 08-8.
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• Experience improving compliance testing frameworks, methodologies, and internal processes.
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