Vice President, Compliance Monitoring & Testing
Confidential
Vice President, Compliance Monitoring & Testing
About the Company
A company in the financial services industry, based in New York.
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Vice President for Compliance Monitoring and Testing. The successful candidate will be responsible for leading high-impact compliance testing across global securities businesses, developing and maintaining risk-based compliance monitoring and testing programs, and ensuring the effectiveness of controls and adherence to regulatory obligations. This role involves establishing testing methodologies, preparing comprehensive testing documentation, and engaging with business and compliance stakeholders throughout the testing lifecycle. The VP will also be involved in core compliance and governance activities, regulatory and stakeholder engagement, and will provide leadership and program oversight in compliance monitoring and testing practices. Applicants must have a Bachelor's degree or equivalent, with 5-7+ years of experience in compliance, regulatory, audit, risk management, or related fields within a broker-dealer, regulatory agency, or global financial institution. A strong knowledge of securities and derivatives regulations, experience in compliance testing, monitoring, and issue management, and the ability to provide practical, risk-based guidance on complex regulatory matters are essential. The role requires excellent project management, analytical, organizational, problem-solving, and communication skills, as well as the ability to build and maintain strong relationships across all levels of the organization. Advanced proficiency in Microsoft Office is a must, and a Juris Doctor (J.D.) or equivalent legal background is advantageous.
Functions
- Legal
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Vice President, Compliance Monitoring & Testing in New York, NY vacancy
$145k - $185k
...New York, United States of America Hours 40 Line of Business Compliance Pay Detail $145,000 - $185,000 USD TD is committed to... ...Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The Monitoring and Testing...SuggestedWork experience placementWork at officeLocal areaWork from homeFlexible hours$150k - $180k
...of America Hours 40 Line Of Business Compliance Pay Detail $150,000 - $180,000 USD. TD... ...and business needs. Job Description Vice President, Compliance at TD Securities (US) - key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. Responsible...SuggestedWork experience placementWork at officeLocal areaFlexible hours- TD Securities (US) seeks a Vice President of Compliance to join the US Compliance Monitoring and Testing Team and Core Compliance Group in New York. You will lead monitoring, testing, and support core compliance program activities. The role requires strong leadership, 7...Suggested
$190k - $225k
...RoleiCapital is seeking a Senior Vice President to join its Regulatory and Compliance team to manage iCapital’s registered... ..., implementing and maintaining testing programs, reviewing marketing... ...Registered Funds (Investment Advisers).Monitor and advise on regulatory...SuggestedFull timeWork at officeRemote work- ...part of Risk Management and Compliance, you are at the center of keeping... ...and Operational Risk (CCOR) Vice President within the Data & AI CCOR... ..., guidance, training, and testing for AI across the firm, addressing... ...effectiveness of controls, monitoring, and escalation.Assess and...SuggestedWork at office
$120k - $205k
...seeking someone to join our team as a Vice President in Global Compliance to support the Compliance Coverage... ...provides timely advice and challenge, and monitors business activities for adherence to... ...conduct and coordinate monitoring, testing and training for the business unit....Temporary work- ...Division is seeking an experienced Vice President to lead the Applied AI... ...teams, Technology, Risk & Compliance, and senior leadership to define... ..., prompt engineering, testing & validation, risk review, pilot... ...deployment, performance monitoring, and production scaling.Continuously...Contract work
- In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US. Applicants must... ...SVP, US Assurance, USA and is responsible for risk-based monitoring and testing of processes and outcomes of First Line of Defence (1LOD) activities...
$160k - $250k
...opportunity to serve as the Deputy Chief Compliance Officer for New York Life’s retail... ..., policy and procedure design, controls testing, supervisory oversight coordination, and... ...surveillance analytics, data and AI-enabled monitoring, and an integrated control environment that...Local areaHome office3 days per week$110k - $120k
...Job Description: Position Summary Guggenheim Securities ("GS") is seeking to hire a Monitoring and Testing Associate to join its Compliance team. The primary objective of this role is to assess business activities and support functions for compliance with applicable...Work at officeGuggenheim Securities LLC
New York, NY3 days ago- ...Vice President, Compliance Testing About the Company Leading financial services organization supporting broker-dealer and capital markets businesses... ...candidate will be tasked with leading compliance monitoring and testing activities across broker-dealer and capital...Work at office
- ...Vice President, Compliance Testing About the Company A leading financial services organization with broad exposure to capital markets and global... ...and jurisdictions. This includes overseeing testing, monitoring, and control assessment programs, and ensuring effective...Work at office
$147.5k - $211k
...server hardening, and application regression testing automation.What You’ll Do:Enterprise... ...execution, deployment waves, reboot compliance, endpoint health, and rollback coordination... ...pilot rings, production waves, user-impact monitoring, failed install tracking, and exception...Local area3 days per week- Compliance, GBM Public Compliance - Digital Assets, Vice President, New York location_on New York, New York, United States Global... ...and reputational risk; monitors for compliance with new or amended... ...training; conducts independent testing; investigates, surveils and monitors...Full timeTemporary workWork at office
- A leading financial institution in New York is seeking a Compliance Monitoring & Testing Specialist. This role involves conducting compliance monitoring and testing, ensuring adherence to regulatory requirements, and documenting findings. Candidates should have a Bachelor...Contract work
$100k - $130k
...ne fonctionneront pas. Ces témoins n’enregistrent pas de renseignements personnels permettant l’identification.Sr. Compliance Officer - Monitoring & Testing (Associate), TD Securities (US) page is loaded## Sr. Compliance Officer - Monitoring & Testing (Associate), TD...Temporary workWork experience placementRemote workWork from homeFlexible hours- Une institution financière basée à New York recherche un Senior Compliance Officer pour rejoindre son équipe de surveillance et de tests de conformité. Le candidat idéal doit avoir une expérience de 5 à 7 ans dans le domaine de la conformité, une formation en baccalaur...Remote job
- ...Vice President, Compliance Officer, Fixed Income Sales and Trading About the Company Acclaimed investment bank Industry... ...responsibilities include supporting the global compliance monitoring program, performing testing and monitoring of compliance with firm policies,...
- ...Vice President, Engineering Lead, Investment Compliance About the Company A leading global alternative investment... ...quality, peer review, and automated testing. Additionally, the role requires... ...compliance surveillance and monitoring platforms is a plus. The role also...
- ...Senior Vice President, Head of Compliance About the Company Accomplished provider of personal loans & related services Industry... ...responsible for ensuring that compliance policies, procedures, monitoring, testing, training, and governance activities are effective...
$35 - $45 per hour
Compliance Monitoring & Testing Specialist Base pay range $35.00/hr - $45.00/hr Top-Tier Bank in Midtown, Manhattan is seeing a Compliance Monitoring & Testing Specialist for a temporary to permanent position! Responsibilities: Conduct ongoing monitoring and testing to...Permanent employmentContract workTemporary workWork experience placement$100k - $135k
## Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)Applyremote type: On Sitelocations: New York, New Yorktime type: Full timeposted on: Posted 19 Days Agojob requisition id: R\_1467507**Work Location**:New York, New York, United States...Work experience placementLocal areaWork from homeFlexible hours- ...to the advancement of AI technologies in compliance-sensitive and high-impact domains.... ...Establish evaluation metrics and frameworks to monitor and improve AI system performance.... ...engineering best practices, including CI/CD, testing, and documentation. Optimize cost and...Work at officeRemote work
- ...expertise will drive strategic innovation and shape the future of our global operations. As the Delivery Performance and Monitoring - Vice President in Global Security, you’ll have the opportunity to collaborate with senior leaders, influence key initiatives, and accelerate...
$109.12k - $163.68k
...individual. Responsible for measuring, monitoring and analyzing the organization’s market... ...senior risk managers in market specific compliance programsDevelop and maintain an appropriate... ...development of business-level stress testing that properly considers risk concentrations...Full timeFlexible hours- VP - AI/ML Engineer - Compliance EngineeringYOUR IMPACTAre you passionate about leveraging... ...address novel business challenges.Develop, test, and maintain high-quality, production-... ...(Docker, kubernetes), CI/CD, and model monitoring.Strong verbal and written communication...
- NBCUniversal is seeking an Analyst for Compliance Operations in New York, NY. This pivotal role involves ensuring adherence to compliance and ethics, executing monitoring and testing strategies, and managing complex projects. Candidates should have at least 2 years of experience...Work at office
$163.6k - $245.4k
...Position Summary: We are seeking a seasoned and strategic SVP of Supervision and Monitoring with a strong track record of leadership and deep expertise in wealth management technology, compliance systems, and automation. This role will be responsible for driving the design...Full timeCiti
New York, NY1 day ago- ...under real-world latency, accuracy, and compliance constraints; and partnering with Product... ...agent governance, red-teaming, adversarial testing, and safety evaluation.Experience with... ....MLOps/LLMOps experience with CI/CD, monitoring, versioning, A/B testing, and rollbacks....
$240k - $280k
...Job Summary: The Managing Director, SoQM Monitoring & Evaluation directs the Firm's... ...address identified quality risks • Directs testing and monitoring activities related to the... ...controls within the SoQM • Evaluates compliance with documentation and retention requirements...Full timeWork at officeBDO USA, P.C.
New York, NY1 day ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Vice President, Compliance Monitoring & Testing. Be the first to apply!
Related searches
- vice president information technology New York, NY
- vice president real estate development New York, NY
- vice president research New York, NY
- vp hr New York, NY
- vice president healthcare New York, NY
- vp account director New York, NY
- vice president product development New York, NY
- vp internal audit New York, NY
- vice president business solutions New York, NY
- vice-president human resources New York, NY