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Financial Services Client

Director, U.S. Head of Compliance Testing

  • New York, NY
  • Full Time

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Office Status: Hybrid (3 days per week)

Salary: $230,000 – $250,000


  • Responsible for developing and maintaining a critical program element of the U.S. Regulatory Compliance Management framework, Compliance independence testing for CUSO/IHC
  • Oversees and leads a team of testing professionals
  • Responsible for developing risk-based Annual Compliance Testing Plan
  • Developing and maintaining the U.S. Testing Procedures, setting forth a consistent industry-standard and FRB NY (SR08-8) expected Compliance testing methodology
  • Coordinating testing schedules with internal stakeholders, including Internal Audit
  • Identifying, escalating, and tracking issues identified by testing
  • Developing and reporting Test Plan governance, including progress to plan reporting and change management
  • Responsible for escalating high risk issues found to senior management
  • Responsible for the oversight of issue entry to RegComp and oversight that corrective action has been taken and issues satisfactorily remediated