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# AVP, Compliance Testing and Monitoring

- **Company:** Page Michael International Inc
- **Location:** New York, NY, United States
- **Experience:** Expert
- **Salary:** $140,000.0
- **Contract:** Permanent contract
- **Skills:** Microsoft Word, Microsoft Excel, Microsoft PowerPoint
- **Published:** October 10, 2026
- **Apply:** https://www.michaelpage.com/job-detail/avp-compliance-testing-and-monitoring/ref/jn-062026-7042015

## About the Role

* 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

## Description

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