Vice President Compliance Monitoring

3 weeks ago


New York, United States Coda Search│Staffing Full time

Job Description

This Vice President – Compliance Monitoring and Testing

The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe.



Compliance Monitoring and Testing

 Execute the annual Compliance testing and monitoring plan

 Determine scope of reviews

 Prepare cohesive workpapers for each test in accordance with firm standards.

 Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of

report issuance.

 Prepare reports for management that highlights the scope, testing approach and the overall results and

findings of the compliance testing review.

 Execute Branch Inspections

 Oversee remediation of gaps identified in the testing process

 Support issues management development and tracking of Compliance-identified findings

 Participate in special projects as they arise to enhance compliance functions




Preferred Qualifications

 7 or more years of experience with a registered US broker dealer or regulator.



  • New York, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their middle office banking team!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks Maintain business line and support function policies and procedures addressing compliance...


  • New York, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their middle office banking team!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks Maintain business line and support function policies and procedures addressing compliance...


  • New York, United States JPMorgan Chase & Co. Full time

    Global Financial Crimes Compliance is seeking a Project Manager who will support our strategic priorities, business transformation, and operational efficiency initiatives involving the Firms KYC and Customer Escalation programs. The position provide Risk, Vice President, Lead, Compliance, Management, President, Banking


  • New York, United States JPMorgan Chase & Co. Full time

    Perform analysis to identify major issues and actionable opportunities, design potential solutions and quantify bottom-line financial impact Develop management, stakeholder and regulator presentations in order to communicate issues, recommendations a Risk, Vice President, Lead, Compliance, Management, President, Banking

  • Vice President

    4 weeks ago


    New York, New York, United States Santander Full time

    Vice President - Leveraged Finance Credit Risk OfficerThe Leveraged Finance Credit Risk Officer - Vice President, reviews credit applications submitted by the front office to prepare executive summaries for the management of the Credit Department.Scope of the analysis and review includes, but not limited, to quantitative and qualitative analysis of the...


  • New York, United States Citigroup Inc. Full time

    Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or reg Compliance Officer, Vice President, Product, Compliance, Officer, President, Technology, Banking

  • Vice President

    3 weeks ago


    New York, New York, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Compliance Officer

    6 days ago


    New York, United States Deutsche Bank Full time

    Compliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets - Vice President Job ID:R0327387 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2024-04-26 Location: New York


  • New York County, New York, United States KIPP Foundation Full time

    Job Description About The Position  The Vice President of STEM leads the K-12 math and science vision for all KIPP schools and oversees the Math and Science Teams. Additionally, the Vice President of STEM collaborates with the Teaching and Learning Leadership team, including the Vice President of Literacy and Humanities, Vice President of School Support,...


  • New York, United States GreenBridge Energy Full time

    GreenBridge Energy are partnered with an extremely influential utility scale battery energy storage business, currently in hyper-growth phase! Title: Vice President of Engineering Our customer is a pioneering leader in the development of cutting-edge battery technologies. Their commitment to innovation and safety has positioned them at the forefront of the...

  • Vice President

    4 weeks ago


    New York, New York, United States Arena Investors, LP Full time

    Arena Investors, LP is a global investment management firm that seeks to generate attractive risk adjusted, consistent and uncorrelated returns by employing a fundamentals based, asset-oriented financing and investing strategy across the entire credit spectrum in areas where conventional sources of capital are scarce.Arena is looking to expand the Securities...


  • New York, United States BlackRock, Inc. Full time

    Become a trusted partner and provide consultation and analytical support for the implementation and administration of global compensation programs, working with compensation colleagues and partners across HR - Navigate through a variety of complex pr Compensation, Vice President, President, Management, Skills


  • New York, New York, United States Hammes Full time

    Our capabilities include real estate strategy and planning, project management, development, investment and property management for healthcare clients and other leading institutions.Hammes is consistently ranked as one of the nation's top healthcare developers by both Modern Healthcare's Construction & Design Survey and Revista's Outpatient Healthcare Real...


  • New York, United States Deutsche Bank Full time

    Group Tax Americas, Reporting and Compliance, Tax Senior Specialist - Vice President Job ID:R0318762 Full/Part-Time: Full-time Regular/Temporary: Regular Listed: 2024-04-01 Location: New York


  • New York, United States United Way of New York City Full time

    Job DescriptionJob DescriptionOrganization Summary:United Way of New York City (UWNYC) is a nonprofit mobilizing people and organizations to eradicate barriers and create opportunities that improve the lives of low-income New Yorkers. Part of the United Way Worldwide system, one of the world's most recognized charitable brands, we envision caring...


  • New York, United States GreenBridge Energy Full time

    GreenBridge Energy are partnered with an extremely influential utility scale battery energy storage business, currently in hyper-growth phase! Title: Vice President of EngineeringOur customer is a pioneering leader in the development of cutting-edge battery technologies. Their commitment to innovation and safety has positioned them at the forefront of the...


  • New York, United States United Way of New York City Full time

    **Organization Summary**: United Way of New York City (UWNYC) is a nonprofit mobilizing people and organizations to eradicate barriers and create opportunities that improve the lives of low-income New Yorkers. Part of the United Way Worldwide system, one of the world's most recognized charitable brands, we envision caring communities in which all individuals...


  • New York, United States Barclays Bank Full time

    Assistant Vice President, Acquisition Credit Strategies. New York As a Barclays Assistant Vice President, Acquisition Credit Strategies, you will be driving the development of underwriting and line assignment strategies leveraging bureau data, applic Vice President, Acquisition, Assistant, President, Customer Experience, Credit, Technology, Banking


  • New Orleans, United States Urban League Of Louisiana Full time

    The Urban League of Louisiana (ULLA) is seeking a Vice President of Finance to lead all financial and fiscal management aspects of the organizations operations. The Vice President of Finance plays a key role in helping shape and deliver on the strategic imperatives of ULLA. Reporting to the President/CEO, this individual is a member of an eight-person...


  • New Orleans, United States Urban League Of Louisiana Full time

    The Urban League of Louisiana (ULLA) is seeking a Vice President of Finance to lead all financial and fiscal management aspects of the organization’s operations. The Vice President of Finance plays a key role in helping shape and deliver on the strategic imperatives of ULLA. Reporting to the President/CEO, this individual is a member of an eight-person...