Director - Compliance Testing Team Lead

Madison-Davis, LLC; New York (NY); Hybrid; USD 180,000 - 225,000; Full time

Job summary

A leading investment bank in Midtown Manhattan is looking for a Director - Compliance Testing Team Lead. This role includes developing compliance test plans, managing compliance testers, and ensuring quality in testing activities. You will work in a hybrid environment and engage deeply with stakeholders to enhance compliance functions.

Benefits

Medical insurance

Vision insurance

401(k)

Qualifications

• Experience leading compliance testing teams.
• Strong understanding of risk assessment methodologies.
• Ability to build relationships with stakeholders.

Responsibilities

• Develop and execute the annual Compliance Test Plan.
• Manage a team of compliance testers.
• Ensure thorough coverage of key risk areas.

Skills

Leadership

Compliance Testing

Risk Management

Education

Bachelor's degree in Finance or related field

Job description

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This range is provided by Madison-Davis, LLC. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$180,000.00/yr - $225,000.00/yr

An investment bank located in Midtown Manhattan looking to bring on board a “Director - Compliance Testing Team Lead” to join their team. This role is currently in a hybrid schedule (2 days in office / week).

Responsibilities:

Develop and execute the annual Compliance Test Plan, including planning, scoping, and scheduling of testing activities.

Collaborate with the Head of Compliance Monitoring and Testing, as well as other Testing Leads, to ensure timely delivery of all testing engagements.

Manage and lead a team of 3–4 compliance testers, including day-to-day oversight and performance development.

Design and lead execution of compliance testing engagements, ensuring thorough coverage of key risk areas.

Review testing workpapers and monitor testing progress for both self-executed and team-led engagements to ensure quality and consistency.

Recruit, mentor, and develop testing professionals to build a strong, capable team.

Build and maintain strong relationships with stakeholders across the firm to facilitate open communication and effective collaboration.

Engage with stakeholders to exercise credible challenge, agree on issues identified, and assist in developing appropriate remediation plans.

Oversee remediation and timely closure of identified issues, coordinating closely with relevant stakeholders and tracking progress.

Partner with data and reporting teams to enhance metrics, identify areas for expanded testing, and support continuous improvement of the Compliance function.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Financial Services and Banking

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

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