Director – Senior Monitoring & Testing Compliance Assurance Officer

Full Time

Financial Services

Office Status: Hybrid (3 days per week in office)

Salary: $230,000

Responsibilities:

  • Develop, implement and oversee the US Compliance Assurance Monitoring and Testing Plan.
  • Lead the Compliance Assurance function to execute high quality assurance reviews across relevant areas of the business and support functions to identify, manage and mitigate risks in relation to core activities in accordance with regulatory requirements and Risk Profile to achieve the right customer outcomes.
  • Responsible for the preparing and presenting formal written reports to senior management.
  • Report and escalate control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.
  • Actively consider the inherent and material risks of the business and support functions to ensure risks are appropriately identified, assessed and mitigated to the desired risk appetite.
  • Maintain strong stakeholder engagement with the business and support functions by building ongoing relationships to promote the Assurance methodology and engender a collaborative and transparent culture of compliance.
  • Actively participate in the annual rules-based risk assessment process.
  • Keep current with industry specific emerging risks, trends and issues across the industry.
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