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AVP Senior Compliance Testing Officer
Strategic team with high level of exposure to all business units
About Our Client
With operations in over 75 countries, my client is one of the largest financial services firms in the world. Due to their success, they have been expanding and investing in multiple departments--this being one of them.
Most recently, their compliance testing team has become a high priority for the firm. The need for compliance testing professionals with swaps experience, specifically, has been of the greatest value to this team, as that swaps trading business has advanced their success, and it's critical that my client matches that growth with an analogous compliance effort.
You will be acting in capacity of a testing officer. This includes determining controls, performing controls testing, and working closely with stakeholders across the business in an effort to best deliver on the evolving needs of the firm's compliance program.
More specifically, in this role it will be necessary that you:
- Through the application of rigorous testing, oversee the compliance with internal and external policies and procedures as well as the laws and regulations applicable to the firm's banking activities in the U.S.
- Perform testing, as directed by management, and assist in the reporting of related results designed to assist management in identifying deficiencies and other issues impacting compliance controls.
- Interact effectively with internal stakeholders to achieve organizational objectives by utilizing the firm's compliance testing methodology and by applying required knowledge and skills.
- Draft assigned portions of review reports in accordance with the firm's compliance methodology and reporting protocol regarding first line of defense assurance. These reports will be written based on a risk framework and reported based on specific evidence gleaned from testing and review techniques, which you will perform.
- Help align the function to the Strong Enterprise Risk Management (SERM) framework by deploying the critical second line of defense testing function.
- Assist business and compliance management in determining the effectiveness of their compliance control environment and provide line of sight for compliance management into regulatory issues.
The Successful Applicant
- Extensive knowledge of swaps and swaps products
- 5+ years experience swaps compliance
- 3+ years testing and/or audit experience
- Extensive knowledge and experience with broker dealer products including: FX, futures, equities, options, swaps and derivatives
- Extensive knowledge of the Securities Exchange Act of 1934, 1940 as well as FINRA rules and regulations
What's on Offer
- Full Health Benefits