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.
Domain
Financial Services / Institutional Securities / Regulatory Compliance
Deliverable
client delivery
Required skills
Compliance testing, regulatory review, risk and control design, data analytics, artificial intelligence tools, financial product knowledge, stakeholder management
Preferred skills
Series 7 or other securities/futures licenses, CIA, CA, CISA certifications
Technologies
Data analytics tools, artificial intelligence tools
Responsibilities
Conducting information gathering sessions with Business Unit personnel, leading walkthroughs, performing substantive on-site testing, preparing written test reports, tracking findings until resolution, planning and executing reviews across multiple business divisions.
Seniority
Vice President, strategic leadership and execution