Compliance Testing & Monitoring

Job Summary

The Senior Compliance Officer will serve as a senior contributor within an independent compliance monitoring and testing function. The role is responsible for planning and executing risk-based reviews, documenting conclusions, communicating control weaknesses, and overseeing corrective actions through closure. The individual will partner with business leaders, control functions, auditors, and other stakeholders across multiple locations while also supporting broader compliance governance, reporting, regulatory change, training, and program-enhancement initiatives.

Key Responsibilities

• Contribute to the design and delivery of the annual risk-based compliance monitoring and testing program.
• Translate identified risks into clear review objectives, testing procedures, evidence requirements, and completion timelines.
• Lead reviews from planning through reporting, including walkthroughs, sample-based testing, analysis, workpaper preparation, and quality control.
• Assess whether policies, procedures, controls, and business practices operate effectively and meet applicable obligations.
• Prepare concise written reports that explain observations, root causes, risk implications, and agreed corrective measures.
• Present findings to appropriate stakeholders, apply constructive challenge, and escalate significant or overdue matters when warranted.
• Track remediation commitments, validate supporting evidence, and determine whether corrective actions adequately address identified concerns.
• Maintain productive working relationships with business management, control partners, auditors, and geographically dispersed compliance teams.
• Use review results, issue trends, and risk developments to identify opportunities for additional monitoring, targeted testing, or training.
• Develop meaningful metrics and management information regarding testing coverage, findings, remediation progress, and recurring themes.
• Support the governance and administration of compliance-identified issues, including accurate records, status updates, and closure documentation.
• Help maintain an organized inventory of applicable legal and regulatory requirements and their relationship to relevant activities and controls.
• Provide practical compliance guidance to management and other stakeholders on day-to-day matters and regulatory interactions.
• Participate in regulatory change assessments, periodic training, and special projects intended to strengthen the compliance framework.
• Coordinate with other control functions to promote consistent standards, effective escalation, and a strong culture of compliance.
• Complete assigned work independently, manage priorities across multiple workstreams, and provide coaching or subject-matter guidance when appropriate.
• Engage with internal or external auditors and regulatory stakeholders on routine information requests, with management support as needed.

Qualifications

• Bachelor’s degree or an equivalent combination of education and progressive professional experience; an advanced legal degree is advantageous but not required.
• Typically five to seven years of relevant experience in compliance testing, monitoring, assurance, internal audit, regulatory oversight, or a comparable control discipline.
• Demonstrated experience evaluating regulated activities, complex products, operational processes, financial controls, regulatory reporting, and/or sales and trading environments.
• Working knowledge of the rules and supervisory expectations applicable to regulated U.S. securities activities, with the ability to develop expertise in new subject areas.
• Strong analytical judgment and attention to detail, including the ability to interpret requirements, evaluate complex fact patterns, and reach well-supported conclusions.
• Excellent written and verbal communication skills, with the confidence to explain sensitive findings and advise stakeholders at varying levels of seniority.
• Proven ability to build credibility, collaborate across functions and locations, and maintain effective relationships with management, auditors, regulators, and control partners.
• Sound project-management, planning, and organizational skills, including the capacity to manage concurrent reviews and shifting deadlines.
• Ability to work independently while contributing effectively to teams of different sizes and structures.
• High standards of integrity, discretion, accountability, and professional conduct.
• Proficiency with Microsoft Word, Excel, and PowerPoint.

Preferred Profile

Successful candidates will be comfortable operating as a senior individual contributor and subject-matter resource. They will combine technical rigor with a pragmatic, service-oriented approach; exercise credible challenge without compromising relationships; and remain effective in a fast-moving, deadline-driven environment.