Compliance Monitoring and Testing Specialist

1 week 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 federal and state compliance updates.

Client Details

Our client is the New York branch of one of the world's largest financial institutions, operating as a key hub for providing comprehensive banking services, including corporate banking, trade finance, and treasury solutions. With a strong focus on compliance and regulatory adherence, the branch plays a vital role in supporting global business operations, particularly in areas like foreign exchange, lending, and cross-border transactions, while maintaining close ties to its headquarters and regional affiliates. The institution has a solid reputation for facilitating international trade and investment between the U.S. and Asia, leveraging its global reach and financial expertise.

Description

The Compliance Monitoring and Testing Specialist will be responsible for:

  • Monitor and test regulatory and internal controls in business-level procedures and policies.
  • Identify control deficiencies and develop detailed reports documenting findings.
  • Track remediation objectives for identified control deficiencies.
  • Ensure written monitoring and testing results are thoroughly documented and escalated appropriately.
  • Participate in planning, execution, and reporting of compliance assurance reviews.
  • Validate compliance and regulatory issues.
  • Stay up to date with federal and state compliance updates and regulatory changes.
  • Support the development of formal compliance monitoring and testing policies, procedures, and workpapers.

Profile

The Compliance Monitoring and Testing Specialist should have the following background:

  • Bachelor's Degree.
  • Ability to work on-site 5 days per week (Monday-Friday) in Midtown New York City.
  • Minimum of 5 years in corporate compliance, audit, or risk management.
  • Familiarity with U.S. laws and regulations.
  • Knowledge of corporate banking and financial institutions, including services like Letters of Credit, Trade Finance, and Clearing.

Job Offer

The successful candidate for the Compliance Monitoring and Testing Specialist role will receive the following:

  • Competitive Base Salary
  • Professional Growth: Opportunities to enhance your expertise in compliance, audit, and risk management within a dynamic corporate banking environment.
  • High-Impact Role: A chance to directly contribute to the organization's regulatory compliance efforts and influence its risk management strategy by identifying and escalating critical issues.
  • Collaborative Environment: Work in cross-functional teams, collaborating with various departments, which broadens your experience and networking opportunities.
  • Midtown New York City Location: Based in a prime financial hub, offering additional career advancement opportunities in the compliance and banking sectors.

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.

  • Compliance Monitoring and Testing Specialist

    1 week ago

    New York, 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 Monitoring

    4 hours 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

    2 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 bank's adherence to all regulatory requirements (excluding Financial Crimes Compliance) and escalate any issues of...

  • Compliance Monitoring

    2 weeks 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

    2 weeks 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 Specialist

    1 week ago

    New York, New York, United States Social Capital Resources Full time

    At Social Capital Resources, we are seeking a Compliance Monitoring & Testing Specialist to join our team in a full-time position.Responsibilities:Conduct ongoing monitoring and testing to ensure the effective execution and sustainability of our adherence to all regulatory requirements (excluding Financial Crimes Compliance) and escalate any issues of...

  • Compliance Monitoring Specialist

    2 weeks ago

    New York, New York, United States Social Capital Resources Full time

    At Social Capital Resources, we are seeking a highly skilled Compliance Monitoring Specialist to join our team. The ideal candidate will have a strong background in regulatory compliance and a proven track record of identifying and mitigating risk.Responsibilities:Conduct ongoing monitoring and testing to ensure compliance with regulatory requirements and...

  • VP, Compliance Officer, Monitoring

    1 month ago

    New York, 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 Officer, Monitoring

    1 month ago

    New York, 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...

  • AVP - Monitoring & Testing Specialist - Regulatory Compliance

    1 week ago

    New York, United States Michael Page Full time

    Improve the compliance department's risk management and controls through the monitoring and testing of their regulatory compliance frameworks. Client DetailsLargest international financial services institution in the world. DescriptionMonitor and test regulatory and internal requirement-related controls in business-level procedures or policies and identify...

  • Compliance Monitoring Specialist

    1 month ago

    New York, New York, United States Michael Page Full time

    Compliance Monitoring and Testing AnalystAt Michael Page, we are seeking a skilled and motivated Compliance Monitoring & Testing Analyst to join our dynamic team.Key Responsibilities:Continuously monitor the bank's operations and activities to ensure compliance with federal, state, and industry regulations.Identify and assess areas of potential risk and...

  • VP, Compliance Officer, Monitoring

    2 weeks 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 Testing

    1 week 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 DetailsOne of the top 10 largest financial services firms in the world. DescriptionThe Monitoring and Testing Team sits in Core Compliance and covers the the firm's and certain global businesses,...

  • VP Compliance Testing

    2 weeks ago

    New York, United States Michael Page Full time

    Client looking to move quicklyHigh 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 globeThis Compliance Officer will also support...

  • Compliance Director

    1 month ago

    New York, New York, United States Compliance Recruitment Solutions Full time

    Compliance Director - Private Funds ExpertWe are seeking an experienced Compliance Director to join our team in New York. As a key member of our Regulatory Consulting team, you will be responsible for providing strategic compliance advice and solutions to our clients in the private funds space.Key Responsibilities:Act as lead compliance resource for retained...

  • Compliance Director

    2 months ago

    New York, New York, United States Compliance Recruitment Solutions Full time

    Job DescriptionCompliance Director - Private Funds ExpertWe are seeking an experienced Compliance Director to join our team at Compliance Recruitment Solutions. As a Compliance Director, you will be responsible for providing strategic compliance advice and solutions to our clients in the private funds industry.Key Responsibilities:Act as lead compliance...

  • Senior Compliance Manger

    2 months ago

    New York, United States Larson Maddox Full time

    Our client, one of America's largest banking groups, is looking to hire an experienced Compliance professional at a Senior Manager / Senior Vice President level to lead specialist Compliance Testing programs across the firms Broker Dealer business with an initial focus on Volcker Testing. The firm are one of the world's largest banking groups whose global...

  • Electronics Test Specialist

    1 week ago

    Ronkonkoma, NY, United States Retlif Testing Laboratories Full time

    We are seeking a skilled Electronic Test Technician to join our team at Retlif Testing Laboratories in Ronkonkoma, New York. As a key member of our laboratory, you will be responsible for performing a variety of tests and measurements on electronic systems and components.About Retlif Testing LaboratoriesRetlif Testing Laboratories is an industry leader in...

  • Compliance Specialist

    2 weeks ago

    New York, New York, United States West Side Federation for Senior and Supportive Housing Full time

    Job SummaryThe Compliance Specialist will play a critical role in ensuring the highest standards of compliance and regulatory adherence at West Side Federation for Senior and Supportive Housing. This position will be responsible for assisting in the completion of regular compliance reports, monitoring deadlines and requirements, and ensuring timely and...

  • Compliance Specialist

    2 months ago

    New York, New York, United States WEST SIDE FEDERATION FOR SENIOR AND SUPPORTIVE HOUSING, INC. Full time

    Job SummaryWe are seeking a highly skilled Compliance Specialist to join our team at WEST SIDE FEDERATION FOR SENIOR AND SUPPORTIVE HOUSING, INC. The successful candidate will be responsible for ensuring the organization's compliance with regulatory requirements and industry standards.Key ResponsibilitiesAssist in the preparation and submission of regular...