Our client is a leading investment bank based in NYC. They're looking to add a talented Vice President to their Growing Compliance Testing & Monitoring team.

RESPONSIBILITIES

• Design, implement, and oversee a comprehensive compliance monitoring and testing program to ensure adherence to regulatory requirements and internal policies.
• Lead and conduct regular compliance reviews and testing across various business units and functions to identify potential areas of risk and non-compliance.
• Assess the effectiveness of existing compliance controls and develop strategies to mitigate identified risks. Provide recommendations for improvements.
• Serve as the primary point of contact for regulatory inquiries related to compliance monitoring and testing. Stay updated on relevant laws and regulations impacting the industry.
• Collaborate with the compliance team to develop and enhance compliance policies, procedures, and guidelines based on industry best practices and regulatory changes.

QUALIFICATIONS

• 5 years of relevant experience
• Bachelors degree or higher
• Strong knowledge of monitoring & testing for capital markets
• JD is a plus