Assistant Vice President, Compliance Quality Assurance

Overview

Job Description

About the role

The Assistant Vice President (AVP) Compliance Quality Assurance supports the execution of independent quality assurance reviews and compliance testing activities designed to assess the effectiveness of regulatory compliance risk management practices and internal controls across the organization.

The role contributes to the delivery of the annual QA plan through risk-based reviews assessment of control design and operating effectiveness identification of control gaps and development of practical recommendations that support a strong and sustainable control environment.

The opportunity

The AVP partners with Compliance Operational Risk Legal Operations Human Resources Finance and business stakeholders to provide credible challenge strengthen documentation validate remediation and promote consistent adherence to applicable laws regulations internal policies and governance standards.

The role also includes responsible use of approved technology data analytics automation and artificial intelligence tools to enhance testing efficiency documentation quality insight generation and continuous monitoring while maintaining appropriate data protection confidentiality and governance standards.

Responsibilities

What youll be doing

Quality Assurance and Compliance Testing

Execute risk-based Compliance Quality Assurance reviews in accordance with the approved annual QA plan.

Evaluate the design and operating effectiveness of controls supporting regulatory compliance and operational risk requirements.

Develop testing strategies test scripts sampling methodologies and workpapers that are sufficient to support review conclusions.

Assess compliance with applicable laws regulations regulatory guidance internal policies procedures and standards.

Identify control deficiencies root causes and emerging risk themes and draft clear findings and remediations for management.

Prepare concise well-supported reports and summaries for stakeholders senior management and governance forums.

Track management action plans and perform validation of remediation activities including review of evidence and sustainability of corrective actions.

Risk and Control Management

Provide independent challenge on the effectiveness of risk management practices governance oversight monitoring and reporting processes.

Support issue validation activities and operating effectiveness assessments for remediated controls.

Identify recurring themes across reviews and escalate significant control concerns through appropriate channels.

Contribute to continuous improvement of QA methodology testing standards documentation practices and reporting templates.

Maintain audit-ready workpapers that clearly support conclusions ratings findings and management action plans.

Data Analytics and Continuous Monitoring

Use data analytics to identify trends anomalies outliers and potential compliance or operational risk indicators.

Support development of dashboards metrics and management reporting that enable risk-based prioritization and decision-making.

Leverage approved reporting and visualization tools to improve insight transparency and stakeholder communication.

Assist in building continuous monitoring approaches that support earlier identification of control weaknesses and emerging risks.

Artificial Intelligence and Innovation

Demonstrate AI literacy and practical understanding of emerging AI technologies including generative AI machine learning data quality explainability bias and responsible AI principles.

Use approved AI-enabled tools responsibly to improve productivity research documentation quality testing efficiency reporting and workflow management.

Critically evaluate AI-generated outputs for accuracy completeness relevance bias and appropriateness before relying on them in QA deliverables.

Identify opportunities to automate or streamline manual QA activities through approved AI-assisted analytics workflow tools and process improvements.

Remain current on regulatory industry and internal expectations relating to AI governance responsible AI usage and technology-driven risk management.

Stakeholder Management and Communication

Build effective relationships with Compliance Operational Risk Legal Audit Operations HR Finance and business stakeholders.

Facilitate constructive discussions regarding findings recommendations root causes and remediation plans.

Provide credible challenge in a collaborative solutions-oriented and non-accusatory manner.

Support regulatory examinations internal audits external reviews and management reporting requests as required.

Qualifications

Why Lloyds

Lloyds North America forms an integral part of Lloyds Banking Group a leading UKbased financial services group focused primarily on retail and commercial customer. We have operated in North America for over 100 years delivering a clientfocused approach to large Corporate and Institutional clients with strong links to the UK.

From our New York office we provide a comprehensive range of core banking products including lending trade finance and working capital solutions alongside debt capital and financial markets services through our U.S. brokerdealer Lloyds Securities Inc.

Our commitment to inclusion

At Lloyds diversity and inclusion are core to who we are. We are committed to attracting retaining and developing the best talent and creating a culture where every colleague feels included valued and empowered to be their best.

Lloyds values diversity across all backgrounds and experiences and encourages our colleagues to bring their whole self to work. We provide equal employment opportunities to all applicants and employees in accordance with applicable law.

Reasonable Accommodations for Qualified Individuals with Disabilities During the Application Process Lloyds North America is committed to providing reasonable accommodations for qualified individuals with disabilities in our job application process. If you have a disability and require a reasonable accommodation in order to participate in the application process our scheduling team can assist if you are selected to interview.

Our benefits

We also offer a wideranging benefits package which includes:

• Comprehensive health coverage with multiple medical plan options including an HSAeligible plan with company contributions plus dental vision and 24/7 virtual care

• Strong financial benefits including a 401(k) with company match and discretionary contribution companypaid life insurance and short and longterm disability coverage

• Family and life support such as paid family leave backup child and elder care employee assistance programs and identity theft protection

• Wellness and lifestyle benefits including fitness programs gym reimbursement options pet insurance and group legal services

Ongoing training development mentoring and networking opportunities

Opportunities to give back through volunteering and fundraising initiatives

This is a once in a career opportunity to help shape your future as well as ours. Join us and grow with purpose.

Annual Salary Range: $100000-$140000

Professional Certifications / Licenses Required: CAMS CRCM

Required Experience:

Exec