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Corporate Compliance - Compliance Manager, Monitoring & Testing - VP - New York, NY

Job Description


  • Minimum 5-10 years experience in Compliance Testing, Audit, or Risk activities within the financial services industry
  • In-depth knowledge and understanding of risks and controls, as well as compliance related practices and methodologies, including risk assessment, monitoring/surveillance and testing activities
  • Familiarity with products, processes, rules and regulations that are relevant to a large broker dealer and/or bank
  • Strong analytical and communication skills
  • Past experience building and maintaining key relationships across departments and functions, and establishing a culture of engagement
  • Proven ability to positively and creatively influence change and champion critical change initiatives; help others to anticipate and manage through change
  • Interpersonal skills – ability to interact with colleagues at all levels in a peer-like way, and achieve goals without direct control over resources
  • Excellent and efficient skills using Word and MS Excel tools (absolutely required)
  • Attention to detail 
  • B.A. required, MBA or CPA  a plus

Req #: 150017390
Location: New York, NY US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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