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VP Compliance Monitoring

  • NYC
  • Full Time

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Large international investment bank located in Midtown, Manhattan looking to bring on board a “VP Compliance Monitoring” to join their team. This role is currently in a hybrid capacity (3 days per week).

 

Responsibilities:

  • Execution of the Compliance Monitoring Program
  • Assist with the day-to-day operations of the Compliance Monitoring Program
  • Support development of the Annual Compliance Monitoring Plan, including recalibration of the plan based on the results of the Compliance Risk Assessment
  • Update Compliance Monitoring Policies, Procedures, Frameworks and other supporting documentation
  • Execute Compliance Monitoring Activities, including gather and analyze data, document and socialize results
  • Identify and document Issues as part of Compliance Monitoring Activities and support remediation, as needed
  • Develop or update Compliance Monitoring Activities based on changes to regulations, firms business and/or products
  • Assist with the development of the monthly Compliance Monitoring Program Reports
  • Develop and maintain Power BI Dashboards related to Compliance Monitoring Program
  • Liaise with Technology to identify source systems to support Compliance Monitoring Activities
  • Provide Guidance to Compliance staff, as well as the business, on development of Compliance Monitoring Activities
  • Collaborate with other Compliance Governance pillars, including Regulatory Change, Compliance Risk Assessment, Compliance Testing, and Issues Management
  • Support ad-hoc data analysis for the Compliance function, as needed