VP, Compliance Monitoring and Testing

The VP, Compliance Monitoring and Testing will play a key role in overseeing and enhancing the monitoring and testing framework within the financial services industry. This role ensures compliance with regulatory requirements by leading risk assessments and implementing effective testing protocols.

• Lead high-impact compliance testing across global securities businesses.
• Gain visibility with senior leadership, regulators, and key stakeholders., * Develop and maintain risk-based compliance monitoring and testing programs across covered business areas.
• Lead the execution of annual and ongoing compliance testing reviews to assess the effectiveness of controls and adherence to regulatory obligations.
• Establish testing methodologies, define review parameters, and design testing procedures tailored to identified compliance risks.
• Prepare and maintain comprehensive testing documentation and workpapers in accordance with established regulatory and internal standards.
• Review testing results, validate findings, and ensure consistency and quality across monitoring activities.
• Engage with business and compliance stakeholders throughout the testing lifecycle to coordinate reviews and communicate expectations.
• Provide effective challenge regarding identified control deficiencies and potential compliance risks.
• Draft clear and concise reports summarizing review objectives, scope, methodology, observations, and recommendations.
• Track and oversee corrective action plans to ensure identified issues are remediated in a timely manner.
• Recommend enhancements to existing monitoring, testing, and training programs based on emerging risks and review outcomes.

Core Compliance & Governance

• Support the development and maintenance of key compliance metrics, dashboards, and management reporting.
• Assist with issue management initiatives, including tracking, escalation, and remediation of compliance findings.
• Contribute to the ongoing enhancement of the firm’s regulatory obligations inventory and governance framework.
• Partner with business units and control functions to promote effective compliance risk management practices.
• Participate in department-wide initiatives and strategic projects aimed at strengthening compliance capabilities and operational efficiency.

Regulatory & Stakeholder Engagement

• Serve as a primary compliance contact for internal stakeholders, auditors, and regulatory bodies on matters related to monitoring and testing activities.
• Support regulatory inquiries, examinations, audits, and reviews by coordinating responses and providing subject matter expertise.
• Build and maintain strong working relationships with regional and global compliance teams to ensure consistency across programs.
• Collaborate with stakeholders to communicate findings, discuss risk mitigation strategies, and drive sustainable improvements.

Leadership & Program Oversight

• Act as a subject matter expert on compliance monitoring and testing practices within the organization.
• Provide guidance and mentorship to compliance professionals and project team members.
• Manage multiple initiatives simultaneously while ensuring deadlines and quality standards are consistently achieved.
• Assist with short- and medium-term planning activities related to compliance oversight and program development.
• Support the continued evolution of the firm’s compliance monitoring framework through innovation and best practices.

• Bachelor’s degree or equivalent combination of education and relevant professional experience.
• 5-7+ years of compliance, regulatory, audit, risk management, or related experience within a broker-dealer, regulatory agency, or global financial institution.
• Strong knowledge of securities and derivatives regulations and the corresponding compliance obligations.
• Experience supporting sales and trading, operations, finance, or regulatory reporting functions within a financial services environment.
• Familiarity with compliance testing, monitoring, controls assessment, and issue management methodologies.
• Demonstrated ability to navigate complex regulatory matters and provide practical, risk-based guidance.
• Strong project management skills with the ability to manage multiple priorities and stakeholders effectively.
• Excellent analytical, organizational, problem-solving, and communication abilities.
• Proven relationship-building skills with the ability to collaborate across all levels of an organization.
• Advanced proficiency in Microsoft Excel, Word, and PowerPoint.
• Juris Doctor (J.D.) or equivalent legal background is advantageous but not required.

• Competitive salary ranging from $150,000 to $180,000 per year.

A company in the financial services industry, based in New York.