Current jobs related to VP Compliance Testing - New York - Michael Page

  • VP, Compliance Officer, Monitoring

    1 month ago

    new york city, United States Coda Search│Staffing Full time

    We are currently partnered with a top Canadian bank looking to expand their Compliance Monitoring & Testing team in NYC by bring on a VP. This bank is know for having a strong employee centric culture built on prioritizing internal promotion and strong work/life balance. In this role, you'll work alongside the head of the group to execute the annual...

  • VP, Compliance

    5 days ago

    New York, United States Cardea Group Full time

    Regulatory Compliance Officer (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated legal and compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the new hire will manage key compliance-related projects and...

  • Senior Compliance Associate

    1 month ago

    New York, United States Cardea Group Full time

    VP/Senior Associate – Compliance (New York, NY): Our client, a leading $35B+ global investment manager with diverse product offerings, is hiring a driven Compliance Professional to join their dynamic, collaborative team. Working alongside an incredible team of driven and friendly cohorts, the new hire will support key compliance projects and initiatives,...

  • VP of Leasing and Compliance

    2 weeks ago

    New York, United States TBG | The Bachrach Group Full time

    We are seeking an experienced and proactive Vice President of Leasing & Compliance (VP) to lead and oversee the Leasing and Compliance department. This role is crucial for ensuring our operations align with the complex regulatory environment governing low-income housing in New York City. The ideal candidate will have experience managing a team of Leasing &...

  • Compliance Monitoring

    3 weeks ago

    New York, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeing a Compliance Monitoring & Testing Specialist for a full-time position! Responsibilities: Conduct ongoing monitoring and testing to ensure the effective execution and sustainability of banks adherence to all regulatory requirements (excluding Financial Crimes Compliance) and escalate any issues of non-compliance...

  • Compliance Monitoring

    1 month ago

    New York, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeing a Compliance Monitoring & Testing Specialist for a full-time position!Responsibilities:Conduct ongoing monitoring and testing to ensure the effective execution and sustainability of bank's adherence to all regulatory requirements (excluding Financial Crimes Compliance) and escalate any issues of...

  • VP, Regulatory Reporting

    3 weeks ago

    New York, United States Tandym Group Full time

    A New York City-based financial services organization is currently seeking an experienced professional to join their staff as their new VP, Regulatory Reporting. In this role, the VP, Regulatory Reporting will be responsible for driving change that enhances the quality of data for financial regulatory reporting, secure compliance with enterprise data...

  • Compliance, Compliance Testing Group, Compliance Investigator, Vice President

    6 months ago

    New York, United States Goldman Sachs Full time

    Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line...

  • VP of Leasing and Compliance

    2 weeks ago

    new york city, United States TBG | The Bachrach Group Full time

    We are seeking an experienced and proactive Vice President of Leasing & Compliance (VP) to lead and oversee the Leasing and Compliance department. This role is crucial for ensuring our operations align with the complex regulatory environment governing low-income housing in New York City. The ideal candidate will have experience managing a team of Leasing &...

  • VP of Leasing and Compliance

    2 weeks ago

    new york city, United States TBG | The Bachrach Group Full time

    We are seeking an experienced and proactive Vice President of Leasing & Compliance (VP) to lead and oversee the Leasing and Compliance department. This role is crucial for ensuring our operations align with the complex regulatory environment governing low-income housing in New York City. The ideal candidate will have experience managing a team of Leasing &...

  • Compliance Monitoring

    1 month ago

    new york city, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeing a Compliance Monitoring & Testing Specialist for a full-time position!Responsibilities:Conduct ongoing monitoring and testing to ensure the effective execution and sustainability of bank's adherence to all regulatory requirements (excluding Financial Crimes Compliance) and escalate any issues of...

  • Compliance Monitoring

    1 month ago

    new york city, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeing a Compliance Monitoring & Testing Specialist for a full-time position!Responsibilities:Conduct ongoing monitoring and testing to ensure the effective execution and sustainability of bank's adherence to all regulatory requirements (excluding Financial Crimes Compliance) and escalate any issues of...

  • Compliance Monitoring and Testing Specialist

    4 weeks ago

    New York, NY, United States Michael Page Full time

    The Compliance Monitoring and Testing Specialist will conduct ongoing monitoring and testing to ensure compliance with regulatory requirements. This role requires a background in audit and risk management, focusing on corporate compliance, and involves developing reports on control deficiencies, tracking remediation objectives, and staying informed on...

  • Compliance Officer

    1 month ago

    New York, United States New Start Capital Full time

    New Start Capital is seeking a detail-oriented Compliance Officer to monitor and enforce adherence to regulatory requirements, particularly within the debt modification industry. The Compliance Officer will play a critical role in maintaining the company’s regulatory compliance by reviewing internal processes, monitoring client interactions, and developing...

  • VP of Finance

    3 weeks ago

    New York, United States Ana Luisa Full time

    Ana Luisa is a fast-growing, Brooklyn-based jewelry brand committed to sustainability and delivering high-quality, affordable jewelry for all. As we expand our multi-channel distribution and work towards exciting milestones, we're seeking a VP of Finance to lead our financial strategy and operations, ensuring we are set for continued success and future...

  • Project Finance VP

    5 days ago

    New York, United States Taurus Search Full time

    Our client, a leading international bank, is seeking a Project Finance / Renewable Energy VP to join their New York branch. This role will sit within the Project Finance Credit team, which sits on the 1st LoD, and will work closely with the originations group. You will be responsible for debt sizing, credit analysis, due diligence, and portfolio management....

  • Vice President Compliance

    3 months ago

    New York, United States Cardea Group Full time

    Senior Associate/VP Compliance – (New York, NY): Our client, an asset manager with over $40B in AUM, is seeking an outstanding compliance professional. As part of a collaborative, supportive, and intelligent team, this new hire will report into the Chief Compliance Officer, providing comprehensive support for the compliance program in accordance with...

  • Bank Compliance Officer

    2 weeks ago

    New York, United States Michael Page Full time

    Act as the second in command to the firm's VP of Compliance, dealing with a large variety of regulatory and financial crime responsibilities Client DetailsForeign Financial Services organization looking to build out their compliance programDescriptionPossess expertise in Bank Secrecy Regulations„ Fair Credit Acts and Anti-Money Laundering Laws.Have a...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States Bryten Real Estate Partners Full time

    Job Title: Compliance SpecialistWe are seeking a highly skilled Compliance Specialist to join our team at Bryten Real Estate Partners. As a Compliance Specialist, you will be responsible for monitoring and documenting compliance activities, processing annual recertifications and inspections, and assisting with application verifications and certification...

  • Vice President of Accounting Compliance

    5 days ago

    New York, United States Inclusiv Full time

    Inclusiv is the largest network of community development financial institutions (CDFIs) with a mission to promote financial inclusion in low-income communities across the country. Through our network of more than 500 community development credit unions based in the 50 States, Puerto Rico and Virgin Islands, Inclusiv reaches more than 20 million people with...

VP Compliance Testing

1 month ago

New York, United States Michael Page Full time

Help establish best in class risk and controls by testing and monitoring the broker dealer program of one of the largest financial services companies in NA.

Client Details

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

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 needed
  • Execute the annual Compliance testing and monitoring plan
  • Lead testing engagements, sometimes concurrently and independently, from scoping to final workpapers and report issuance
  • Prepare workpapers for each test in accordance with firm standards
  • Prepare comprehensive reports for management that highlights the scope, testing approach and the overall results and findings of the compliance testing review
  • Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of report issuance
  • Oversee remediation of gaps identified in the testing process and track issues to closure
  • Support issues management development and tracking of Compliance-identified findings
  • Participate in special projects as they arise to enhance compliance functions
  • Work closely with other support functions and the business areas to support a culture of compliance across the firm
  • Execute Branch Inspections
  • Assist in identifying areas for enhanced monitoring or training
  • Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
  • Subject matter expert for a functional area
  • Key contact for business management, regulators and external/internal auditors, dealing with non-routine information
  • Focuses on short to mid- range planning (e.g
  • 6-12 months)
  • Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
  • Domestic Travel - Occasional
  • Performing sedentary work - Continuous
  • Performing multiple tasks - Continuous
  • Operating standard office equipment - Continuous
  • Responding quickly to sounds - Occasional
  • Sitting - Continuous
  • Standing - Occasional
  • Walking - Occasional
  • Moving safely in confined spaces - Occasional
  • Occasional
  • Lifting/Carrying (over 25 lbs.)
  • Squatting - Occasional
  • Bending - Occasional
  • Kneeling - Never
  • Reading, writing and comprehending instructions - Continuous
  • Adding, subtracting, multiplying and dividing - Continuous
  • We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role

Profile

  • BA/BS, or a similar degree, required
  • Strong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them
  • Knowledge of US laws, rules and regulations pertaining to Swap Dealers, including Dodd-Frank and Volcker
  • Excellent interpersonal, organizational, leadership and communication (oral and written) skills
  • Ability 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 time
  • Client 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 interactions
  • Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues
  • Project management skills and ability to manage multiple work streams involving different partners and groups
  • Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size
  • A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm
  • Proficient in Word, Excel and PowerPoint
  • The 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 risk
  • Manages regulatory reviews including inquiries, audits, and exams
  • Bachelors degree or progressive work experience
  • 5-7 Years of related experience
  • Lifting/Carrying (under 25 lbs.)
  • Concentrating for long periods of time - Continuous
  • Applying common sense to deal with problems involving standardized situations - Continuous

Job 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.

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.