Vice President, Compliance Monitoring and Testing Officer
About the Company
Prominent investment bank
Industry
Investment Banking
Type
Privately Held
About the Role
The Company is seeking a VP, Compliance Monitoring and Testing Officer to join their team. The successful candidate will be responsible for planning and executing compliance testing reviews across various banking business units and processes, in line with the Annual Compliance Testing Plan. This includes preparing detailed workpapers, identifying compliance issues, conducting root cause analyses, and developing remediation plans. The role also involves presenting findings to management, drafting testing review reports, and tracking the progress of remediation activities. Applicants for the VP, Compliance Monitoring and Testing Officer position at the company should have a strong background in compliance, with a focus on monitoring and testing. The role requires the ability to work independently and as part of a team, excellent analytical and problem-solving skills, and the capacity to communicate effectively with stakeholders at all levels. A proactive approach to identifying and addressing compliance issues is essential. The ideal candidate will have a degree in a relevant field and professional certifications in compliance or risk management. Experience in the banking or financial services industry is highly valued.
Travel Percent
Less than 10%
Functions
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