Vice President, Compliance Testing Officer
About the Company
Renowned commercial investment banking company with an international reach
Industry
Financial Services
Type
Public Company
Founded
1812
Employees
10,001+
Categories
Specialties
Business Classifications
About the Role
The Company is seeking a Compliance Testing Officer to join its Independent Compliance Risk Management (ICRM) testing team. The successful candidate will be responsible for assessing compliance risks and controls within the first and second lines of defense, performing risk assessments of compliance risks, and conducting independent testing activities to evaluate the design and effectiveness of key controls. This role also involves reporting and escalating control issues, as well as any violations of laws or breaches of policy, and validating the adequacy of remediation efforts. Key activities include participating in the planning, execution, and reporting of compliance testing reviews, acting as a review lead, and utilizing innovative compliance testing solutions, including data analytics. Applicants should have 6-10 years of experience, with a strong background in compliance testing, regulatory issue validation, and auditing principles. The role requires a deep understanding of compliance laws, rules, regulations, and specific regulatory requirements, as well as the ability to build strong relationships with stakeholders and engage in effective negotiation. The ideal candidate will be a self-starter, flexible, innovative, and adaptive, with advanced analytical skills and the ability to manage multiple projects. A Bachelor's degree is required, with a Master's degree preferred, and the candidate should be proficient in MS Office applications. The position demands a high level of interpersonal skills, the ability to work both independently and collaboratively, and a proactive approach to communicating and managing issues.
Hiring Manager Title
Director
Travel Percent
Less than 10%
Functions
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