Description

A leading financial institution is seeking a Compliance Monitoring & Testing AVP to join its Monitoring & Testing function. This role is integral to ensuring the firm maintains a strong control environment and meets regulatory expectations across its U.S. and global business lines. You will help design, execute, and enhance testing routines that assess the effectiveness of controls supporting regulatory compliance.

This is an excellent opportunity for a detail‑oriented professional looking to develop technical testing skills, gain exposure to senior stakeholders, and contribute to enterprise‑wide compliance initiatives.

Key Responsibilities

• Assist in executing the annual Compliance Monitoring & Testing plan, including scoping reviews, developing test steps, and gathering supporting evidence.
• Perform control testing across business areas to assess adherence to policies, procedures, and regulatory requirements.
• Document findings, prepare reports, and assist in developing remediation plans with business partners.
• Help track the status of open issues, ensuring timely completion and escalation where necessary.
• Support the enhancement of testing methodologies, templates, and documentation standards.
• Contribute to broader compliance initiatives, including issue management, regulatory change assessments, and compliance reporting.
• Partner with stakeholders across Compliance, Risk, Operations, Sales & Trading, and Technology to promote a strong culture of compliance.

Qualifications

Required:

• 3 - 6+ years of experience in Compliance, Risk, Audit, Operations, or another control function.
• Strong analytical mindset and ability to learn new regulatory topics quickly.
• Excellent organizational skills with high attention to detail.
• Strong communication skills-able to articulate findings clearly and professionally.
• Ability to work both independently and collaboratively in a fast‑paced environment.

Preferred:

• Bachelor's degree in Finance, Business, Economics, Accounting, or a related field.
• Familiarity with broker‑dealer operations, banking regulations, or financial products.
• Experience performing testing, quality assurance, internal audit, or control‑focused reviews.