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VP of Compliance and Oversight

1 week ago

Jersey City, New Jersey, United States Madison-Davis, LLC Full time

Madison-Davis, LLC is looking for a Vice President of Compliance and Oversight to join their team. This individual will be responsible for ensuring that all aspects of compliance M&T engagements are conducted in accordance with established department standards.

Key Responsibilities:

• Serve as the examiner-in-charge, overseeing all facets of compliance M&T engagements.

• Develop and refine M&T monitoring scripts to ensure effective internal controls.

• Prepare information requests and announcement memoranda to facilitate cohesive work papers.

• Perform field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments.

• Conduct Control Design Effectiveness analysis and review of applicable rules and regulations to ensure compliance.

• Ensure that comprehensive work papers are prepared for each engagement, meeting department standards.

• Identify underlying issues and escalate them to stakeholders for validation and remediation.

• Draft issue memoranda and reports for issuance to management, detailing identified issues and corrective action plans.

• Assist in the registration and tracking of identified issues and corrective action plans to validate remediation efforts.

• Stay current on changing regulatory requirements and the business model to maintain a solid foundation of the applicable regulatory framework.