Compliance Testing Manager

CFA Institute; New York (NY); On-site; USD 80,000 - 120,000; Full time

Job summary

An established industry player is seeking a Compliance Testing Manager to lead specialist programs within their Broker Dealer business. This role involves devising and delivering the annual Compliance Testing program, leading engagements, and collaborating with senior leaders to address compliance gaps. The firm is among the largest banking groups in the US, and this position offers a unique opportunity to contribute to a growing team in a dynamic environment. If you have a strong background in compliance and a passion for regulatory excellence, this role is perfect for you.

Qualifications

• 5+ years of Compliance Testing experience in a Broker Dealer or large Bank.
• Excellent knowledge of regulations in the Broker Dealer / Capital Markets space.

Responsibilities

• Devise and deliver the annual Compliance Testing program.
• Lead Testing engagements across the Broker Dealer business.
• Work with senior leaders to remediate compliance gaps.

Skills

Compliance Testing

Regulatory Knowledge

Interpersonal Skills

Job description

Compliance Testing Manager - Broker dealer

Our client, one of America's largest banking groups, is looking to hire an experienced Compliance professional at a Manager level to lead specialist Compliance Testing programs across the firms Broker Dealer business. The firm are one of the world's largest banking groups whose global presence continues to go from strength to strength. The Broker Deal business whilst among the largest in the US, is still growing, and this is one of two new hires in this specialist Compliance Testing group.

You will report directly into the Americas Head of Wholesale Banking Compliance Testing.

The Compliance Testing Manager will be responsible for...

• Devising and delivering upon the firms annual Compliance Testing program
• Leading specialist Testing engagements across the Broker Dealer business
• Working with senior business leaders to remediate gaps arising from Compliance Testing
• Identifying improvements to the annual Compliance Testing program

The Compliance Testing Manager should have the following qualifications...

• Minimum of 5+ years of relevant Compliance Testing experience gained in a Broker Dealer or large Bank
• Excellent working knowledge of the regulations governing the Broker Dealer / Capital Markets Space
• Auditors with relevant experience will be considered
• Exceptional interpersonal skills