Apply for the VP, Compliance QA Analyst position
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Office Status: Hybrid (3 days per week in office)
Salary: $140,000 – $175,000
Responsibilities:
- Conduct independent end to end Compliance review testing over AML, Sanctions, KYC, Training & Risk Assessment functions with minimal oversight.
- Develop comprehensive QA workpapers describing testing performed and results identified.
- Develop well written QA reports providing root cause of compliance-related observations/findings and industry best practice
- Ability to meet tight deadlines
- Support compliance activities and remediation efforts across the organization
- Provide subject matter expertise in compliance QA related activates
- Develop adhoc MIS reports providing detailed QA statistics and regulatory/internal audit and self-assessment remediation/validation efforts.
- Ensure that Branch’s QA program dynamically adapts to U.S. regulatory and policy changes
- Review and validate the effectiveness of internal controls managed by the Branch’s compliance departments
- Liaise with external parties e.g. 3rd party vendors supporting Compliance activities
- Communicate with other internal departments to ensure timely reporting and resolution of identified compliance-related risk and control issues
- Participate (when applicable) in weekly, monthly and quarterly compliance meetings with Branch Senior Management
- Responsible for interviewing and training employees; monitoring & tracking QA staff members work assignments; addressing complaints and resolving problems.
- Assists the QA Manager in the carrying out of his/her duties
- Performs other adhoc QA related duties as required