Compliance Testing Officer

Pinnacle Career Coaching; New York (NY); Hybrid; USD 90,000 - 120,000; Full time

Job summary

A leading investment bank in New York City is seeking compliance testing professionals to join their team. This role involves supporting the Compliance Testing and Monitoring Plan, conducting reviews, and communicating findings to key stakeholders. The ideal candidate has over 5 years of compliance testing experience in investment banking and capital markets. Operating on a hybrid schedule with 3 days in office, this position offers a chance for diverse exposure across various product groups.

Qualifications

• 5+ years of compliance testing experience within investment banking and capital markets.

Responsibilities

• Support the development and execution of the annual Compliance Testing and Monitoring Plan.
• Define the scope of reviews, design detailed testing procedures, and organize supporting documentation.
• Conduct testing engagements and prepare comprehensive reports outlining findings and recommended corrective actions.
• Communicate identified deficiencies to business partners and stakeholders.
• Oversee and track remediation efforts.
• Develop and maintain Testing and Monitoring metrics.
• Support issue management processes.
• Assist in building and maintaining a comprehensive rules inventory.

Skills

Compliance Testing

Capital Markets Experience

Job description

We've partnered with an Investment bank who are looking for several compliance testing professionals to join their team. We have multiple open positions for people with experience with capital markets testing products specifically.

They currently operate on a hybrid schedule (3 days in office) and are based in Manhattan.

They're not looking to silo you in a specific product group, so if you're currently in a role focused on just one product group and would like a more rounded exposure to other areas, then this could be a great growth position.

What you'll be doing:

• Support the development and execution of the annual Compliance Testing and Monitoring Plan.
• Define the scope of reviews, design detailed testing procedures, and organize supporting documentation.
• Conduct testing engagements and prepare comprehensive reports outlining findings, exceptions, and recommended corrective action plans.
• Communicate identified deficiencies to business partners and key stakeholders, providing constructive and credible challenge where appropriate.
• Oversee and track remediation efforts to ensure timely and effective resolution of identified gaps.
• Develop and maintain Testing and Monitoring metrics, contributing to departmental reporting and performance insights.
• Support issue management processes, including the development, documentation, and tracking of Compliance-identified findings through remediation.
• Assist in building and maintaining a comprehensive rules inventory covering applicable laws and regulations

What they're looking for

• 5+ years of compliance testing experience within investment banking and capital markets

For more information, please contact Thomas Byrne at [e-mail]