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VP, Compliance Exam and Audit Management Liaison
A great opportunity to build and shape a compliance program!
A unique role for someone with regulatory exam experience.
About Our Client
Our client is a leading global financial services firm providing a wide range of investment banking services. Although this role is located in New York City, the Firm's employees serve clients worldwide including corporation and institutional clients.
Key responsibilities of the VP, Compliance Exam and Audit Management Liaison are:
- Develop internal protocol and program structure for Anti-Financial Crime Americas Exam Management, including development of strategic approach, interaction model, governance and senior management briefings; participate in Monitor meetings and site visits
- Document Exam Management processes and provide guidance to evidence proper governance of program functions
- Interface with Regulatory agencies
- Prepare weekly control charts and exam management reports
- Manage junior staff responsible for day-to-day coordination of the Monitor Liaison function
- Develop technical solutions to advance processes to track and retain documentation relating to internal and external examinations
- Oversee the tracking and execution of all pending regulatory action items by junior staff
- Oversee team's inventory of audit issues and respective action plans to proactively identify potential issues; ensure timely execution of deliverables
- Liaise with management to ensure proper ownership and attention on audit issues and lead reoccurring status update meetings with the management team.
The Successful Applicant
PRIOR WORK EXPERIENCE
- 5+ years of Audit or Exam Management experience
- 2+ years of interfacing directly with Regulatory agencies
- Bachelors Degree or equivalent
What's on Offer
Competitive Salary + benefits