Compliance Testing Director – Capital Markets Position Available In New York, New York

Compliance Testing Director

• Capital Markets
  Larson Maddox Manhattan, United States
  Posted 7 hours ago Hybrid Job Permanent

USD220000

• USD235000 per annum + Bonus
  Compliance Testing Director
• Capital Markets
  Larson Maddox Manhattan, United States
  We have a current opportunity for a Compliance Testing Director
• Capital Markets on a permanent basis. The position will be based in New York. For further information about this position please apply.
  Compliance Testing Director
• Capital Markets
  Our client, one of America’s largest banking groups, is looking to hire an experienced Compliance professional at Director level to lead specialist Compliance Testing programs across the firms Capital Markets business.

This is a new hire who will form part of the Compliance Testing & Monitoring leadership team and will play a pivotal role in providing leadership and setting the Compliance Testing strategy.
You will report directly into the Americas Head of Compliance Monitoring & Testing.
The Compliance Testing Director will be responsible for…
Devising and delivering upon the firms annual Compliance Testing program
Leading specialist Testing engagements across the Capital Markets business
Leading a specialist team of Compliance Testing Officers
Working with senior business leaders to raise exceptions and remediate gaps arising from Compliance Testing
Identifying key improvements to the annual Compliance Testing program
The Compliance Testing Director should have the following qualifications…
10+ years of relevant Compliance Testing experience gained in the Capital Markets / Broker Dealer arm of a Wholesale bank or similar
Capital Markets Auditors with right level of experience will be considered
Experience and subject matter expertise of the rules and regulations governing the Capital Markets / Broker Dealer space
Exceptional interpersonal skills and relationship management skills
Job

ID PR/549864

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ABOUT COMPANY

Larson Maddox
New York, United States
Compliance / Legal
At Larson Maddox, we give essential guidance to leading firms by connecting them with the best In-House Counsel talent for their Regulatory & Legal ne…