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Market leading International Bank requires a AVP to help run the testing program across their US operations. It will run a small team and span across all of their product lines - FI, Equities, Swaps, Commodities, and Banking.
An understanding of financial markets products and the regulatory environment governing financial markets is required and prior experience in compliance testing is mandatory.
Great opportunity with three vacancies available with career growth potential.
Build/maintain a monitoring & testing program to ensure the banks compliance with permissible US activities and operations under US securities and banking rules.
Plan for and manage compliance reviews according to the established review schedule and ad hoc regulatory / business commitments, including determining review scope, budget and testing approach.
Validate compliance against established policies and procedures and regulations.
Develop recommendations for corrective action based on review findings.
Work with Product Compliance Officers and Management to agree on appropriate action plans.
Present and report review results to Business and Compliance Management.
Follow-up on action plans to verify that corrective action has been effectively implemented.
Satisfy standards for delivering high quality value added compliance monitoring reviews.
Maintain a broad knowledge of the business and regulatory framework in which the bank operates
4 year bachelors degree
2+ years experience of compliance, regulatory, audit or operational; risk management experience in a global investment bank
2+ years experience with federal banking rules and regulations
Big 4 consultants highly regarded
Regulatory monitoring and testing highly desired - FINRA, SEC, FED