Senior Compliance Officer - Monitoring & Testing
Senior Compliance Officer, Monitoring & Testing
Location: New York, NY
Compensation: $90,000 - $125,000 Base Salary
A leading financial services organization is seeking a Senior Compliance Officer, Monitoring & Testing to join its Compliance function. This individual will play a key role in executing compliance reviews, assessing regulatory risk, identifying control gaps, and supporting compliance initiatives across capital markets and securities-related businesses.
Responsibilities
- Execute compliance monitoring and testing reviews across multiple business areas
- Assist in developing annual compliance testing and monitoring plans
- Define review scope, develop testing procedures, and assess control effectiveness
- Identify regulatory and compliance risks, document findings, and recommend corrective actions
- Communicate findings and recommendations to key stakeholders
- Track remediation efforts and support issue management processes
- Prepare reports, metrics, and presentations related to testing activities and compliance trends
- Support regulatory change initiatives and broader compliance program enhancements
- Partner closely with compliance, risk, legal, audit, operations, and business teams
- Participate in special projects designed to strengthen the compliance framework
Qualifications
- 5+ years of compliance testing, monitoring, internal audit, regulatory examination, or related compliance experience
- Experience within a broker-dealer, investment bank, capital markets firm, regulator, or similar financial services environment
- Knowledge of securities regulations, regulatory reporting, operations, controls, and risk management practices
- Exposure to sales & trading, capital markets, investment banking, or wholesale banking activities preferred
- Strong analytical, investigative, and problem-solving abilities
- Excellent written and verbal communication skills
- Proven ability to manage multiple priorities in a fast-paced environment
- Bachelor's degree required; JD or other advanced degree is a plus
Preferred Background
- Compliance Monitoring & Testing
- Broker-Dealer Compliance
- Capital Markets Compliance
- Investment Banking Compliance
- Regulatory Examinations
- Internal Audit
- Controls Testing
- Regulatory Risk & Controls
- FINRA or SEC-related experience
This opportunity is ideal for professionals looking to leverage their compliance testing, audit, or regulatory experience within a dynamic capital markets environment while gaining exposure to complex regulatory matters and enterprise-wide compliance initiatives.
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.