Vice President Compliance

Client Job DescriptionFirm: Investment BankLocation: Midtown, NYCHybrid: 3 days in the officeComp: 130-160k base + bonus (comp depends on background and experience level)Experience: 5+ yearsTitle: Vice President - Compliance TestingReports to the CCOOverviewMy client is seeking a proactive VP candidate to join their Compliance Department and lead their Compliance Testing program. The successful candidate will play a significant role in implementing and deploying a comprehensive testing program to adhere to regulatory requirements, internal policies, and industry standards. This position requires experience with testing or auditing functions, an understanding of institutional brokerage activities, and strong organizational, analytical, and communication skills.Essential Job Functions:Lead and perform compliance testing of supervisory and monitoring controls.Establish testing schedules to prioritize higher risks or areas of increased concern.Develop essential elements of the testing program, including organization and documentation.Create test scripts across diverse business units and functions to identify critical issues and emerging risks to the organization.Collaborate with senior management and Compliance colleagues to identify remedial actions, and track and validate the implementation of these actions.Prepare reports for management to highlight significant risks and progress made toward remediation.Monitor industry trends and regulatory actions to identify developing areas of concern that may require enhanced testing or priority.Required Qualifications:At least 5 years of experience in a regulatory or compliance setting of an institutional investment bank or broker-dealer.Experience in a testing or auditing function with a focus on investment banking and broker-dealer activities.Bachelor's degree.Ability to work in the U.S. with no restrictions (no sponsorship, VISA, H1B, etc.)Preferred Qualifications (Not required):Direct regulatory experienceKnowledge and experience concerning research, investment banking, and equity trading

Created: 2025-02-23