Compliance Monitoring & Testing AVP
A leading financial institution is seeking a Compliance Monitoring & Testing AVP to join its Monitoring & Testing function. This role is integral to ensuring the firm maintains a strong control environment and meets regulatory expectations across its U.S. and global business lines. You will help design, execute, and enhance testing routines that assess the effectiveness of controls supporting regulatory compliance.
This is an excellent opportunity for a detail‑oriented professional looking to develop technical testing skills, gain exposure to senior stakeholders, and contribute to enterprise‑wide compliance initiatives.
Key Responsibilities
- Assist in executing the annual Compliance Monitoring & Testing plan, including scoping reviews, developing test steps, and gathering supporting evidence.
- Perform control testing across business areas to assess adherence to policies, procedures, and regulatory requirements.
- Document findings, prepare reports, and assist in developing remediation plans with business partners.
- Help track the status of open issues, ensuring timely completion and escalation where necessary.
- Support the enhancement of testing methodologies, templates, and documentation standards.
- Contribute to broader compliance initiatives, including issue management, regulatory change assessments, and compliance reporting.
- Partner with stakeholders across Compliance, Risk, Operations, Sales & Trading, and Technology to promote a strong culture of compliance.
Qualifications
Required:
- 3 - 6+ years of experience in Compliance, Risk, Audit, Operations, or another control function.
- Strong analytical mindset and ability to learn new regulatory topics quickly.
- Excellent organizational skills with high attention to detail.
- Strong communication skills-able to articulate findings clearly and professionally.
- Ability to work both independently and collaboratively in a fast‑paced environment.
Preferred:
- Bachelor's degree in Finance, Business, Economics, Accounting, or a related field.
- Familiarity with broker‑dealer operations, banking regulations, or financial products.
- Experience performing testing, quality assurance, internal audit, or control‑focused reviews.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your resume so you can be considered for roles that have yet to be created.
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.