Vice President Compliance Testing
Core
Planning, preparing, and executing regulatory and compliance-based reviews for Institutional Equities, Fixed Income, Commodities, Futures, Prime Brokerage, Investment Banking, Research, and Operations Divisions to assess adherence to laws and the effectiveness of controls.
Role type
Vice President, Compliance Testing (2nd Line of Defense)
Builds
Compliance test reports, workpapers, and findings for discussion with management across US, Canada, and Latin America.
Domain
Financial Services / Regulatory Compliance / Risk Management
Required skills
Compliance testing, regulatory reviews, control design, data analytics, artificial intelligence, stakeholder management, report writing, risk assessment
Preferred skills
Securities licenses (Series 7), audit certifications (CIA, CA, CISA), experience in financial services regulation
Technologies
Data analytics tools, artificial intelligence tools
Responsibilities
Conducting compliance tests and managing review scope, leading walkthroughs and performing substantive on-site testing, preparing written test reports and tracking findings, evaluating design and operating effectiveness of controls, facilitating meetings with diverse stakeholders
Seniority
Vice President, strategic leadership and hands-on execution