Compliance Quality Assurance and Conformance Testing - The Compliance Search Group (New York, NY)

Compliance Quality Assurance and Conformance Testing - AVP/VP

Top-tier investment bank seeks a VP/AVP Compliance Quality Assurance and Conformance Testing Officer. The VP/AVP will assist in driving the end-to-end compliance programs related to Compliance QA and Conformance Testing efforts.



The primary responsibilities of this role includes:

• Completing and documenting QA and Conformance Testing work, and making recommendations for improving processes across the global Compliance function
• Assisting in the execution of the global end to end process for the roll out of the annual Compliance QA and Conformance Testing Program
• Working closely with the global team to execute coordinated QA and Conformance Testing amongst the three regions
• Assisting with the continuous improvement of the QA and Conformance Testing Program from both an effectiveness and efficiency perspective
• Supporting the collection, compilation and communication of Compliance QA and Conformance Testing results
• Assisting in the coordination of global QA and Conformance Testing initiatives with relevant stakeholders, including the Regional Heads of Compliance and the Product and Functional Compliance Heads for all regions
• Providing strategic support to the Head of the department
• Liaising with functional heads within Risk and Control to ensure global consistency in the coverage model


Qualifications:

• Bachelor's Degree
• 4+ years of experience in Legal, Compliance or Audit
• Previous experience in Compliance Reviews, Conformance Testing, Quality Assurance, Investigations or Audit
• Strong relevant technical expertise combined with relevant experience and understanding of the investment banking industry related to Compliance Reviews, Conformance Testing, Quality Assurance, Investigations or Audit
• Experience in executing testing in a large and complex Investment Banking organization
• Good writing skills and be able to communicate effectively in the context of: formal written reports
distributed to Senior Management; documentation of test work papers; and email correspondence
• Excellent business judgment and a willingness to exercise it
• Professional demeanor and possess considerable presence, impact and gravitas and will command respect within the organization and with the regulators
• Be a proactive, energetic and resilient individual with a can-do approach
• Vision to be able to help build a new function from scratch that is fit for the current regulatory environment
• Be a self-starting and results-focused individual

Source: http://www.jobs2careers.com/click.php?id=308657071.96