VP, Compliance QA Analyst

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