Location: New York,NY, USA
Job Description
This Vice President Compliance Monitoring and Testing
The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe.
Compliance Monitoring and Testing
Execute the annual Compliance testing and monitoring plan
Determine scope of reviews
Prepare cohesive workpapers for each test in accordance with firm standards.
Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of
report issuance.
Prepare reports for management that highlights the scope, testing approach and the overall results and
findings of the compliance testing review.
Execute Branch Inspections
Oversee remediation of gaps identified in the testing process
Support issues management development and tracking of Compliance-identified findings
Participate in special projects as they arise to enhance compliance functions
Preferred Qualifications
7 or more years of experience with a registered US broker dealer or regulator.