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 3 days ago
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