Compliance Testing Manager | Manhattan, NY, USA | Hybrid

Larson Maddox; New York (NY); Hybrid; USD 120,000 - 140,000; Full time

Job summary

An established industry player is seeking a Compliance Testing Manager to lead specialist programs within the Broker Dealer business. This role offers an exciting opportunity to shape the annual Compliance Testing program and work closely with senior business leaders to enhance compliance measures. With a strong focus on regulatory knowledge and compliance testing experience, the ideal candidate will play a pivotal role in ensuring the firm's adherence to industry regulations. Join a dynamic team at a leading banking group and contribute to its continued success in the financial sector.

Qualifications

• 5+ years of Compliance Testing experience in Broker Dealer or large Bank.
• Strong knowledge of regulations governing Broker Dealer/Capital Markets.

Responsibilities

• Devise and deliver the firm's annual Compliance Testing program.
• Lead specialist Testing engagements across the Broker Dealer business.
• Work with senior leaders to remediate gaps from Compliance Testing.

Skills

Compliance Testing

Regulatory Knowledge

Audit Experience

Job description

Compliance Testing Manager

Larson Maddox Manhattan, United States Apply now Posted 2 days ago Hybrid Job Permanent USD120000 - USD140000 per annum + Bonus

We have a current opportunity for a Compliance Testing Manager on a permanent basis. The position will be based in New York. For further information about this position please apply.

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

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