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Senior Compliance Manager

2 months ago

New York, New York, United States Larson Maddox Full time

Larson Maddox is seeking an experienced Compliance professional to lead specialist Compliance Testing programs across the firm's Broker Dealer business with an initial focus on Volcker Testing.

The ideal candidate will report directly into the Americas Head of Wholesale Banking Compliance Testing.

The Compliance Testing Manager will be responsible for:

  • Developing and executing the firm's annual Compliance Testing program
  • Leading specialist Testing engagements across the Broker Dealer business
  • Leading Volcker rule testing
  • Collaborating with senior business leaders to remediate gaps arising from Compliance Testing
  • Identifying improvements to the annual Compliance Testing program

The Compliance Testing Manager should possess the following qualifications:

  • Minimum of 5+ years of relevant Compliance Testing experience gained in a Broker Dealer or Wholesale banking
  • Experience and subject matter expertise of Volcker rule preferred
  • Excellent working knowledge of the regulations governing the Broker Dealer Space
  • Securities Industry registration - not essential but a nice to have
  • Exceptional interpersonal skills