VP, Compliance Monitoring and Testing

Full Time

International Bank

Office Status: Hybrid

Job Responsibilities

  • Manages Monitoring and testing Activities
  • Serves as the examiner-in-charge responsible for all facets of compliance monitoring and testing engagements
  • Assists in the development and refinement of monitoring and testing scripts
  • Prepares information requests and announcement memoranda
  • Performs assigned field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments.
  • Ensures that cohesive work papers are prepared for each engagement in accordance with department standards.
  • Identifies underlying issues and escalation / validation thereof with clients.
  • Drafts issue memoranda and reports for issuance to management.
  • Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts
  • Stays abreast of changing regulatory requirements and business model to maintain a solid foundation of the applicable regulatory framework.
  • Participates in the annual risk assessment process of applicable laws and regulations.
  • Assists in the consolidation and reporting of results within local and Head Office reporting.
  • Performs Control Design Effectiveness analysis and review of the rules and regulations under review.

Job Requirements

  • 7+ years of Banking and Compliance Experience
  • CRCM Certification (A Plus)
  • Has a Compliance Testing, Bank Regulatory or Internal Audit Background
  • Able to work Independently on projects with little oversight
  • Able to learn quickly and dissect complicated issues within a large and complex financial institution
  • Solid understanding of the US Regulatory Framework and Alphabet Regulations
  • Strong Communication and Written Skills
  • Able to multi-task and perform work functions efficiently and timely
  • Motivated and action-oriented
  • Adaptable and able to evolve and change with Bank Transformation
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