Senior Compliance Officer – Monitoring & Testing

Institutional broker dealer located in Midtown Manhattan looking to bring on board a “Senior Compliance Officer – Monitoring & Testing” to join their team. This role is currently in a hybrid schedule (2 days in office / week).

Responsibilities:

-Lead the development and execution of the annual Compliance Testing and Monitoring plan, ensuring thorough, effective assessments.

-Define the scope of reviews, create detailed testing procedures, and gather supporting evidence for comprehensive evaluations.

-Conduct testing engagements, preparing detailed reports that highlight exceptions and recommended action plans.

-Communicate identified deficiencies to business leaders and stakeholders, providing constructive feedback and offering credible challenge.

-Oversee the remediation of gaps uncovered during testing, ensuring timely and effective resolutions.

-Build and nurture relationships with key stakeholders globally to enhance collaboration and compliance outcomes.

-Identify opportunities for improving Monitoring, Testing, and training efforts to strengthen compliance functions.

-Develop key Testing and Monitoring metrics, contributing to department-wide reporting and performance tracking.

-Support the management of compliance issues by tracking and addressing findings from compliance reviews.

-Contribute to the development of a comprehensive rules inventory that aligns with regulations-

-Participate in special projects aimed at further enhancing compliance functions across the organization.

-Collaborate with cross-functional teams to promote a robust culture of compliance firm-wide.