General Compliance Testing, AVP

Full Time

Job Function:

Our client is a Global Bank seeking an AVP; Compliance Testing for their NY office.

The General Compliance Testing AVP will perform the assigned functions, as outlined below, and conduct compliance testing and monitoring across various lines of business, banking offices, and operating departments


The AVP’s day to day responsibilities will:

Perform compliance testing

Lead and /or perform compliance testing, identify issues and make recommendations and report the result
Follow up on the issues and on the status of remediation

Perform compliance risk assessment on themes tested

Identify Key Risk Indicators and perform risk assessment on themes tested
Participate in risk assessment discussions

Analyze the region’s (the Americas) compliance status and compliance framework

Perform ongoing offsite monitoring to the offices in the region;
review Compliance Action Program, Compliance Committee Minutes, external/internal exam/audit reports, etc.

Respond to individual inquiries/issues from the Head Office and offices, etc.

Function as a liaison with the Head Office Compliance Group and offices in the Americas


Eligible to work in the US
Bachelor’s degree
JD, Bar, CPA or equivalent professional qualification
4+ years of compliance or internal audit experience
2+ years of compliance testing experience
Corporate / commercial banking experience
Strong analytical and problem solving skills
Excellent interpersonal and communication skills
Possess adaptability/flexibility and organizational sense
Able to work collaboratively with the team

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