Senior Compliance Officer - Monitoring And Testing

Senior Compliance Officer - Monitoring And Testing

This range is provided by Madison-Davis, LLC. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

$/yr - $/yr

An investment bank located in Midtown Manhattan looking to bring on board a “Senior Compliance Officer - Monitoring And Testing” to join their team. This role is currently in a hybrid schedule (2 days divorce in office / week).

• Lead the development and execution of the annual Compliance Testing and Monitoring plan, ensuring thorough, effective assessments.
• Define the scope of reviews, create detailed testing procedures, and gather supporting evidence for comprehensive evaluations.
• Conduct testing engagements, preparing detailed reports that highlight exceptions and recommended action plans.
• Communicate identified deficiencies to business leaders and stakeholders, providing constructive feedback and offering credible challenge.
• Oversee the remediation of gaps uncovered during testing, ensuring timely tradicion and effective resolutions.
• Build and nurture relationships with key stakeholders globally to enhance collaboration and compliance outcomes.
• Identify opportunities for improving Monitoring, Testing, and training efforts to strengthen compliance functions.
• Develop key Testing and Monitoring coletivo metrics, contributing to department-wide reporting and performance tracking.
• Support the management of compliance issues by tracking and addressing findings from compliance reviews.
• Contribute to the development of a comprehensive rules inventory that aligns with regulations.
• Participate in special projects aimed at further enhancing compliance functions across the organization.
• Collaborate with cross-functional teams to promote a robust culture of compliance firm‑wide.

Mid-Senior level

Full‑time

Finance

Financial Services and Banking

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