Compliance Lead, 2LOD

HW3; New York (NY); Presencial; USD 110.000 - 160.000; Jornada completa

Descripción de la vacante

HW3, a leading financial services firm in New York, seeks a Compliance Lead to join its Compliance Risk Management team. You will execute risk-based compliance monitoring and testing, evaluate internal controls, and support enhancements to the organization’s compliance framework.

The ideal candidate has 3–5 years in compliance testing, monitoring, audit, or risk management within financial services, and strong analytical, communication, and stakeholder-management skills.

Formación

• Experience in compliance testing, monitoring, or audit within financial services.
• Strong analytical, communication and stakeholder management skills.
• Knowledge of applicable financial services regulations and compliance requirements.

Responsabilidades

• Independently scope, execute, and document risk-based compliance monitoring and testing reviews.
• Assess the effectiveness of internal controls and identify potential regulatory compliance gaps.
• Prepare comprehensive testing reports outlining findings, risks, and remediation recommendations.
• Collaborate with internal stakeholders to communicate findings and support corrective actions.
• Support the execution of annual compliance testing plans and ongoing improvements to testing methodologies.
• Identify opportunities to enhance compliance processes, controls, and reporting standards.
• Provide guidance on regulatory compliance risks and contribute to broader compliance program initiatives.

Conocimientos

Analytical skills

Communication

Stakeholder management

Educación

Bachelor's degree

Descripción del empleo

Compliance Lead, Compliance Monitoring & Testing

Employment Type: Full-Time

About the Opportunity

A leading financial services organization is seeking an experienced Compliance Lead to join its growing Compliance Risk Management team.

This individual will be responsible for executing risk-based compliance testing, evaluating internal controls, identifying regulatory risks, and supporting enhancements to the organization's compliance framework.

The ideal candidate will bring hands-on experience in compliance testing, monitoring, or audit within a regulated financial services environment.

Key Responsibilities

• Independently scope, execute, and document risk-based compliance monitoring and testing reviews.
• Assess the effectiveness of internal controls and identify potential regulatory compliance gaps.
• Prepare comprehensive testing reports outlining findings, risks, and recommended remediation.
• Collaborate with internal stakeholders to communicate findings and support corrective actions.
• Support the execution of annual compliance testing plans and ongoing improvements to testing methodologies.
• Identify opportunities to enhance compliance processes, controls, and reporting standards.
• Provide guidance on regulatory compliance risks and contribute to broader compliance program initiatives.

Qualifications & Requirements

• 3-5 years of experience in compliance testing, monitoring, internal audit, or risk management within financial services.
• Strong understanding of second-line compliance testing and risk-based assessment methodologies.
• Experience independently conducting testing reviews and preparing detailed reports.
• Knowledge of applicable financial services regulations and compliance requirements.
• Strong analytical, communication, and stakeholder management skills.
• Ability to work independently and manage multiple priorities.
• Bachelor's degree required; relevant professional certifications are a plus.

Preferred Qualifications

• Experience within banking, capital markets, or other highly regulated financial institutions.
• Familiarity with governance, risk, and compliance (GRC) systems.
• Experience supporting regulatory examinations or compliance remediation initiatives.