Vice President, Broker Dealer Testing
About the Company
Leading public banking & financial services company driving community, enterprise & climate change
Industry
Banking
Type
Public Company
Founded
1968
Employees
10,001+
Categories
- Banking & Mortgages
- Financial Services
- Investment Banking
- Banking
- Finance
- Wealth Management
-
- Credit
Specialties
- banking
- financial services
- digital
- technology
- customer services
- risk
- audit
- finance
- and data
About the Role
The Company is seeking a Broker Dealer Testing VP to join their team. The successful candidate will be responsible for assessing compliance risks and controls within the first and second lines of defense. This role is a key part of the Compliance Assurance testing program, involving the monitoring and execution of assurance reviews to identify potential breaches of regulatory obligations and corporate compliance policies. The VP will also ensure that key controls to mitigate non-compliance risks are in place and effective, and will work with internal stakeholders to address any issues. Additionally, the role includes reporting and escalating control issues, as well as validating the adequacy of remediation actions.Candidates for this position should have a background in global compliance and audit, with a strong knowledge of business processes and IT technologies used in the broker-dealer, bond, repo, treasuries, and capital markets business. A deep understanding of broker-dealer regulations and securities products, including CFTC, FINRA, SEC, and CMA regulations, is essential. The role requires excellent communication skills, the ability to engage with a wide range of stakeholders, and a proactive approach to identifying and mitigating risks. The ideal candidate will be well-versed in industry-specific emerging risks and trends, and be proficient in the use of technology. A collaborative and transparent approach to compliance, as well as a willingness to take on additional duties as necessary, is also expected.
Hiring Manager Title
Head of Broker Dealer Testing
Travel Percent
Less than 10%
Functions