VP, Compliance Testing

Full Time

Madison-Davis Client

Office Status: Hybrid

Your Key Responsibilities:

  • Conduct compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory, and internal Firm policy requirements applicable to Bank products and services in the Americas
  • Develop testing modules and conduct testing across all business activities to evaluate adherence to regulatory requirements and compliance risks
  • Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region
  • Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing, and business line compliance management. Ensure the review work plan addresses compliance risks and regulatory priorities and the reviews are designed to meet applicable regulatory guidance
  • Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations
  • Identify compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks or whether any existing control framework adequately manages the risks

Your Skills and Experience:

  • BA or BS Degree a must and JD, MBA or Masters degree a plus
  • Strong knowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FDIC, FINRA, SEC, NFA, and CFTC
  • Knowledge of the products and services of the market businesses (e.g. fixed income and FX) and corporate finance (e.g. IPOs and mergers & acquisitions)
  • Knowledge of Dodd-Frank regulatory requirements including the Volcker Rule and swap dealer is a strong plus
  • A background in compliance testing, audit or risk is a strong plus
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