VP Compliance Testing

1 month ago

New York, United States Michael Page Full time

  • Client looking to move quickly
  • High growth opportunity

    About Our Client

    One of the top 10 largest financial services firms in the world.

    Job Description

  • The Monitoring and Testing Team sits in Core Compliance and covers the the firm's and certain global businesses, working with regional testing teams across the globe
This Compliance Officer will also support other aspects of the Core Compliance program as neededExecute the annual Compliance testing and monitoring planLead testing engagements, sometimes concurrently and independently, from scoping to final workpapers and report issuancePrepare workpapers for each test in accordance with firm standardsPrepare comprehensive reports for management that highlights the scope, testing approach and the overall results and findings of the compliance testing reviewBuild relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of report issuanceOversee remediation of gaps identified in the testing process and track issues to closureSupport issues management development and tracking of Compliance-identified findingsParticipate in special projects as they arise to enhance compliance functionsWork closely with other support functions and the business areas to support a culture of compliance across the firmExecute Branch InspectionsAssist in identifying areas for enhanced monitoring or trainingWorks independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialistsSubject matter expert for a functional areaKey contact for business management, regulators and external/internal auditors, dealing with non-routine informationFocuses on short to mid- range planning (e.g6-12 months)Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%Domestic Travel - OccasionalPerforming sedentary work - ContinuousPerforming multiple tasks - ContinuousOperating standard office equipment - ContinuousResponding quickly to sounds - OccasionalSitting - ContinuousStanding - OccasionalWalking - OccasionalMoving safely in confined spaces - OccasionalOccasionalLifting/Carrying (over 25 lbs.)Squatting - OccasionalBending - OccasionalKneeling - NeverReading, writing and comprehending instructions - ContinuousAdding, subtracting, multiplying and dividing - ContinuousWe will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

BA/BS, or a similar degree, requiredStrong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting themKnowledge of US laws, rules and regulations pertaining to Swap Dealers, including Dodd-Frank and VolckerExcellent interpersonal, organizational, leadership and communication (oral and written) skillsAbility to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same timeClient service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactionsStrong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issuesProject management skills and ability to manage multiple work streams involving different partners and groupsAbility to interact effectively with all levels of the organization and to work collaboratively on teams of varying sizeA relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firmProficient in Word, Excel and PowerPointThe VP Compliance oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory riskManages regulatory reviews including inquiries, audits, and examsBachelors degree or progressive work experience5-7 Years of related experienceLifting/Carrying (under 25 lbs.)Concentrating for long periods of time - ContinuousApplying common sense to deal with problems involving standardized situations - Continuous

What's on Offer

Chance to join a top organization during a time when growth and improvement of the compliance program are the primary objectives for the firm.

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