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Compliance Testing - VP level

Company: Robert Walters Associates Inc
Location: New York
Posted on: January 14, 2018

Job Description:

Market leading International Bank requires a VP to run the testing program across their US operations. It will run a small team and span across all of their product lines - FI, Equities, Swaps, Commodities, and Banking. An understanding of financial markets products and the regulatory environment governing financial markets is required and prior experience in compliance testing is mandatory. With significant changes to regulations affecting the financial services industry and new surveillance technologies, the individual must be able to assist with workstreams critical to the firm's overall compliance profile. Duties will entail -

  • Run all aspects of the compliance testing program for the bank, looking for constant improvements and embedding any necessary changes.
  • Review, escalate and close testing outcomes knowing how to run a program with autonomy.
  • Be able to manage stakeholders in the business and show that compliance testing is a value-add process
  • Assist in the update and enhancements of processes and systems where neccesary
  • Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
  • Assess the impact of legislative changes to the financial markets sector, and ensure the surveillance systems are appropriate and business units are fully informed Suitable candidates will possess -
    • 5+ years relevant experience in financial services compliance testing
    • Working with FI, Equities, Commodities and Banking products is highly preferred
    • Regulatory knowledge, specifically relating to financial market regulations, either from a law firm, big 4 accountancy firm, or other banking & financial markets compliance departments
    • Top tier academic background
    • Excellent written and verbal communication skills
    • Ability to lead a team and develop talent, as well as positively influence company and compliance culture Market leading International Bank requires a VP to run the testing program across their US operations. It will run a small team and span across all of their product lines - FI, Equities, Swaps, Commodities, and Banking.

      Keywords: Robert Walters Associates Inc, New York, Compliance Testing - VP level, Executive, New York, New York

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