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Robert Half Financial Services are currently recruiting for a VP Compliance Testing role for an International Bank and Broker Dealer, located in midtown New York. Our client requires FINRA and Federal Reserve (FED/FRB) Regulatory knowledge, and must have at least 7+ years within a Compliance Testing, Monitoring or Quality Assurance role focusing on policies and procedures.
THE ROLE This VP Compliance Testing role will report into the Deputy CCO for the Americas region. The role will ensure that the relevant businesses and support functions operate in compliance with regulations (FINRA, FED/FRB, NFA) and internal policies so as to protect the firm from legal and regulatory liabilities, and the economic and reputational consequences of those liabilities. This role will also provide the business with accurate, prompt, efficient and effective compliance management to permit those businesses to service their clients and compete effectively within legal and regulatory requirements.
Monitoring and testing the design and effectiveness of policies and procedures in accordance with regulatory and internal obligations;
Assisting with the review and enhancement of Compliance policies and procedures;
Participating in the design of monitoring and testing scripts;
Reporting results to colleagues and management;
Tracking remediation of compliance issues and test findings;
Assisting with requests from the organization's various regulators, including FED, FINRA, SEC, NFA, CFTC;
Functioning as a Compliance Generalist and participating in ad hoc compliance projects as needed.
7+ years experience in a Compliance Monitoring and Testing role combined with a Regulatory/generalist compliance understanding.
This VP Compliance Testing role is located in Midtown New York so please only apply if you are able to travel to this location, and have relevant recent experience. The salary is flexible dependent on experience, however the initial range is $150-170k base plus bonus. If your profile matches the above criteria please contact me on **firstname.lastname@example.org**