Job Description:

Job DescriptionThis Vice President - Compliance Monitoring and Testing The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the pliance Monitoring and Testingï‚· Execute the annual Compliance testing and monitoring planï‚· Determine scope of reviewsï‚· Prepare cohesive workpapers for each test in accordance with firm standards.ï‚· Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance ofreport issuance.ï‚· Prepare reports for management that highlights the scope, testing approach and the overall results andfindings of the compliance testing review.ï‚· Execute Branch Inspectionsï‚· Oversee remediation of gaps identified in the testing processï‚· Support issues management development and tracking of Compliance-identified findingsï‚· Participate in special projects as they arise to enhance compliance functionsPreferred Qualificationsï‚· 7 or more years of experience with a registered US broker dealer or regulator.