Senior Compliance Officer - Monitoring And Testing

Madison-Davis, LLC; New York (NY); Hybrid; USD 100,000 - 140,000; Full time

Job summary

A leading company in financial services is seeking a Senior Compliance Officer specializing in Monitoring and Testing. The successful candidate will lead compliance testing initiatives and collaborate with various stakeholders to enhance compliance practices. This role offers a hybrid work schedule and competitive compensation.

Qualifications

• Mid-Senior level role in compliance with the financial services sector.
• Experience in Compliance Testing and Monitoring is essential.
• Strong communication skills for stakeholder interactions.

Responsibilities

• Lead compliance testing and monitoring efforts across the organization.
• Develop detailed testing procedures and conduct comprehensive evaluations.
• Communicate deficiencies and oversee remediation efforts.

Skills

Communication

Analytical Thinking

Stakeholder Management

Education

Bachelor’s Degree in Finance, Business or related field

Job description

Senior Compliance Officer - Monitoring And Testing

Senior Compliance Officer - Monitoring And Testing

Get AI-powered advice on this job and more exclusive features.

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

$100,000.00/yr - $140,000.00/yr

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

Responsibilities:

-Lead the development and execution of the annual Compliance Testing and Monitoring plan, ensuring thorough, effective assessments.

-Define the scope of reviews, create detailed testing procedures, and gather supporting evidence for comprehensive evaluations.

-Conduct testing engagements, preparing detailed reports that highlight exceptions and recommended action plans.

-Communicate identified deficiencies to business leaders and stakeholders, providing constructive feedback and offering credible challenge.

-Oversee the remediation of gaps uncovered during testing, ensuring timely and effective resolutions.

-Build and nurture relationships with key stakeholders globally to enhance collaboration and compliance outcomes.

-Identify opportunities for improving Monitoring, Testing, and training efforts to strengthen compliance functions.

-Develop key Testing and Monitoring metrics, contributing to department-wide reporting and performance tracking.

-Support the management of compliance issues by tracking and addressing findings from compliance reviews.

-Contribute to the development of a comprehensive rules inventory that aligns with regulations-

-Participate in special projects aimed at further enhancing compliance functions across the organization.

-Collaborate with cross-functional teams to promote a robust culture of compliance firm-wide.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Financial Services and Banking

Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x

Get notified about new Compliance Officer jobs in New York City Metropolitan Area.

New York, NY $100,000.00-$135,000.00 7 hours ago

VP ESG/ Advisory (Financial Security) Compliance Officer

New York, NY $120,000.00-$150,000.00 6 days ago

New York, NY $200,000.00-$250,000.00 11 hours ago

New York, NY $130,000.00-$150,000.00 2 months ago

Sr. Manager, Compliance & Sustainability

New York, NY $100,000.00-$120,000.00 2 days ago

Whippany, NJ $161,000.00-$214,600.00 3 days ago

Vice President, Chief Compliance Officer

New York, NY $110,000.00-$140,000.00 4 days ago

VP - Legal & Compliance (Financial Services)

New York City Metropolitan Area $175,000.00-$225,000.00 1 day ago

Compliance Officer, Lead Expert Networks

New York, NY $115,000.00-$190,000.00 1 day ago

New York, NY $80,000.00-$95,000.00 5 days ago

Director - Regulatory Operations Compliance

New York City Metropolitan Area $175,000.00-$200,000.00 2 weeks ago

Director of Government Contracts & Quality Assurance

New York, NY $90,000.00-$100,000.00 1 week ago

Manager, Risk, Compliance & Strategic Initiatives

New York, NY $74,000.00-$77,000.00 6 days ago

Central Compliance and Strategy Senior Manager

New York, NY $124,800.00-$214,500.00 2 days ago

New York, NY $130,000.00-$150,000.00 2 weeks ago

New York, NY $140,000.00-$160,000.00 1 week ago

Vice President, Investment and Corporate Banking Advisory Compliance Officer- Americas (“ICBA”)

New York, NY $140,000.00-$190,000.00 6 hours ago

Sr. Manager, Compliance - HIPAA & Data Privacy

Investment Bank & Americas Sanctions Advisory Specialist - Vice President

New York, NY $125,000.00-$203,000.00 1 week ago

Senior Compliance Risk Manager - Product Compliance, Personal Banking

Investments Compliance Officer – Portfolio Monitoring

Jersey City, NJ $94,800.00-$125,000.00 1 week ago

Insurance Compliance Manager - Agency & Partnership

White Plains, NY $110,000.00-$140,000.00 4 weeks ago

New York, NY $80,000.00-$155,000.00 6 days ago

Compliance Monitoring and Surveillance First Vice President

New York City Metropolitan Area $160,000.00-$185,000.00 4 days ago

Compliance and Operations Director - Aon Securities

New York City Metropolitan Area $200,000.00-$300,000.00 1 week ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.