Markets Compliance Testing VP

Full Time

International Banking Client

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

Responsibilities:

  • Perform compliance testing and monitoring, identify issues, make recommendations and report the result to the management team
  • Track the issues and the status of remediation
  • Identify key risks and controls on areas, issues and themes tested
  • Participate in risk assessments
  • Analyze bank and broker-dealer compliance frameworks and controls
  • Review and assess compliance policies, procedures and programs, participate in Compliance Committee reviews, review external/internal exam/audit reports
  • Function as a liaison with the Head Office and regional offices
  • Provide training and guidance to the Compliance Officers and the business where applicable
  • Conduct other related tasks of ATO
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