Manager, Regulatory Compliance Review

We are currently partnering with a leading global banking and capital markets platform to support their search for a Manager, Compliance Monitoring & Testing. This organization operates in a highly regulated, fast-paced environment and offers broad exposure across trading, investment banking, and global markets activities. This role plays a key part in independently assessing compliance with regulatory requirements and internal policies across the business. The Manager, Compliance Monitoring & Testing will work closely with compliance, legal, and business stakeholders to execute testing engagements and evaluate the effectiveness of internal controls. This individual will help identify risks, elevate findings, and support remediation efforts, while also contributing to the enhancement of testing frameworks and methodologies. Responsibilities include executing compliance testing reviews, ensuring adherence to internal policies and regulatory requirements, managing issue tracking and reporting, and supporting initiatives to strengthen and scale the compliance program. Overview Execute compliance testing to assess adherence to regulatory requirements and internal policies Identify control gaps, exceptions, and areas of risk; elevate findings as needed Partner with stakeholders to track and support remediation efforts Prepare testing reports and maintain detailed documentation and workpapers Support issue management and validation testing activities Lead and oversee junior team members on testing engagements Contribute to the development and execution of the annual compliance testing plan Enhance testing methodologies, governance, and reporting frameworks #J-18808-Ljbffr Madison-Davis, LLC