Compliance Testing – AVP

Full Time

International Banking Client

Office Status: Hybrid (2 days per week in office)

Salary: $85,000 – $140,000


  • Conduct compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory and internal Firm policy requirements applicable to products and services in the Americas
  • Develop testing modules and conduct testing across all business activities to evaluate adherence to regulatory requirements and compliance risks
  • Maintain solid working relationships with business line compliance, front office, operations, and other control groups throughout the region
  • Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing, regulatory adherence and business line compliance management, ensure review work plan addresses regulatory priorities, and that reviews are designed to meet applicable regulatory guidance
  • Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations
  • Identify compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks or whether any existing control framework adequately manages the risks
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