AVP, Compliance Testing and Monitoring

Join a top global Canadian banking organization as they look to augment their compliance testing program for their broker-dealer.

• Client looking to move quickly
• Wide exposure across the firm, * Assist with developing and executing the annual Compliance Testing plan
• Determine the scope of reviews, build detailed review steps, and organize documentary evidence of the review
• Execute testing engagements and prepare reports to document exceptions and action plans
• Communicate deficiencies to the business and key stakeholders, exercising credible challenge
• Oversee the remediation of gaps identified in the testing process
• Build relationships with key stakeholders globally
• Assist in identifying areas for enhanced Monitoring, Testing, or training
• Develop Testing metrics and contribute to department reporting
• Support issues management development and tracking of Compliance-identified findings
• Support the development of a rules inventory covering applicable rules and regulations for TDS businesses
• Participate in special projects to enhance compliance functions
• Work closely with other support functions and business areas to foster a culture of compliance across the firm
• Contribute to annual compliance training requirements and regulatory change impact assessments as needed

• Bachelor’s degree or progressive work experience
• 5-7 years of related experience

Preferred Qualifications:

• JD is desirable but not required
• Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, with the ability to learn new areas while supporting them
• Excellent interpersonal, organizational, leadership, and communication (oral and written) skills
• Client service skills, with the ability to partner with and advise senior managers, line managers, and other stakeholders on regulatory interactions
• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues
• Project management skills and the ability to manage multiple work streams involving different partners and groups
• Ability to thrive in a fast-paced, deadline-driven environment, demonstrating excellent time management, planning, and the ability to handle multiple assignments simultaneously
• Ability to interact effectively with all levels of the organization and collaborate on teams of varying sizes
• A relationship builder with the ability to establish, develop, and maintain effective working relationships with regulators and business/functional partners
• Proficient in Word, Excel, and PowerPoint

Opportunity to join one of the few global banking organizations actively growing their US pressence.

Client is a top, global Canadian banking firm.