Compliance Testing Manager
A leading global investment bank is seeking an experienced Compliance Testing Manager to join its independent Compliance function. This individual will play a key role in assessing the effectiveness of the bank's compliance framework, evaluating regulatory controls, and providing independent assurance to senior management regarding compliance risks across the organization.
This is a highly visible position that offers extensive interaction with Compliance leadership, Legal, Internal Audit, Risk Management, and front office stakeholders.
Key Responsibilities
- Lead and execute risk-based compliance testing and monitoring reviews across a broad range of regulatory and compliance programs.
- Develop testing scopes, methodologies, sampling approaches, and work programs aligned with regulatory expectations and industry best practices.
- Evaluate the design and effectiveness of compliance controls and identify potential gaps, weaknesses, and emerging risks.
- Produce clear and concise testing reports, documenting findings, root cause analyses, and remediation recommendations.
- Track and validate corrective action plans to ensure timely remediation of identified issues.
- Partner with Compliance Advisory, Operational Risk, Legal, and business stakeholders to strengthen the overall control environment.
- Assist in the development and enhancement of the Compliance Testing framework, policies, procedures, and governance processes.
- Prepare materials and management reporting for senior leadership, Compliance Committees, and regulators.
- Support regulatory examinations, internal reviews, and audit engagements as required.
Required Qualifications
- Bachelor's degree in Finance, Business, Accounting, Law, or a related field.
- Mandatory experience within a Compliance Testing, Compliance Monitoring, Internal Audit, Regulatory Validation, or Assurance function at a large bank or global financial institution.
- 7+ years of relevant experience within banking, capital markets, or financial services.
- Strong understanding of banking regulations, compliance risk management frameworks, and regulatory expectations.
- Demonstrated experience executing testing engagements from planning through reporting and issue validation.
- Excellent analytical, investigative, and report-writing skills.
- Ability to challenge stakeholders constructively while maintaining strong working relationships.
- Strong project management and stakeholder management capabilities.
Preferred Qualifications
- Experience covering investment banking, markets, trading activities, financial crime compliance, consumer compliance, or enterprise compliance programs.
- Prior Internal Audit experience within a large bank.
- Professional certifications such as CRCM, CAMS, CIA, CPA, or similar are advantageous.
- Familiarity with data analytics and testing tools (SQL, Power BI, Tableau, or similar).
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