VP- Compliance Testing

As a Senior Compliance Testing Officer you will be responsible for:

Leading Anti-Financial Crime (AFC) and Compliance reviews in order to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to OUR CLIENT products and services in the Americas.

Developing testing modules and conduct testing across all OUR CLIENT Americas business activities to evaluate adherence to regulatory requirements.

Building and maintaining effective relationships with business line leadership, business line AFC and Compliance, Operations groups, Internal Audit, and other stakeholders and partners throughout the region.

Supporting the development of a testing universe and review plans based on the results of the annual AFC and compliance risk assessment, ensuring the review plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance.

Utilising subject matter expertise with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations.

Identifying AFC and Compliance risks inherent in a business or process and assess whether the control framework in place is effectively managing these risks.

Determining the root cause of issues and guide the development of effective remediation plans to mitigate the risks.

Preparing reports to OUR CLIENT leadership and senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period.

Ensuring that all findings and recommendations are entered into the appropriate issue tracking system for managing corrective actions effectively and performing follow-up and final validation to ensure proper resolution.

Meeting with senior management in AFC and Compliance, lines of business, and other stakeholders to provide overview of significant risks and control gaps.

Requirements:

Proven knowledge of regulations governing financial institutions including the BSA, USA PATRIOT Act, sanctions, and financial services rules and regulations of the FRB, FINRA, SEC, NFA, and CFTC etc.

Proven financial services experience, with exposure to asset management related products and services such as broker dealer, investment advisory, fixed income, and equities.

Proven expertise in AFC and Compliance Testing or Internal Audit within a large complex financial services organization.

Strong business writing experience and expertise, including policy and procedures.

Expertise in interpreting various laws, regulations, policies, and developing testing strategies to assess.

Excellent interpersonal and communication skills and experience with the ability to interact effectively with internal and external stakeholders, including regulators and senior management.

Strong analytical and investigative, critical thinking skills including the ability to identify the root cause of issues.

Proven ability to manage multiple compliance reviews and projects at the same time and meet quality standards and deadlines.