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VP Compliance - IB Compliance Monitoring & Testing
Ref No.: 17-03186
Location: New York, New York
Position Type:Contract
Pay Rate : $ 140,000.00 - 180,000.00 /Year
Main duties and responsibilities
Plan for and manage compliance reviews according to the established review schedule and ad hoc regulatory / business commitments;
Planning for review scope, budget and testing approach
Performing on-site compliance reviews to:

Validate compliance against established policies and procedures and applicable regulations;
Develop recommendations for corrective action based on review findings;
Work with business compliance officers and management to agree on appropriate action plans
Present and report review results to Business and Compliance Management
Follow-up on action plans to verify that corrective action has been effectively implemented.
Satisfy standards for delivering high quality value added compliance risk reviews
Provide guidance on compliance and supervisory findings related to review areas
Anticipate and provide solutions to complex issues
Maintain a broad knowledge of the Firm's business and regulatory framework in which it operates
Maintain relationships with business compliance officers and management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm



Risk and Control Objective

Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Brokerage Firm Operational Risk Framework and internal Brokerage Firm Policies and Standards.



Professional/technical experience

4+ years of compliance, regulatory, audit or operational risk management experience in a global investment bank including experience with investment banking products, experience with Federal banking rules and regulations a plus
Knowledge of Client, SEC and other regulatory rules and regulations
Ability to analyze and interpret regulatory rules and their impact on the business
Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities
Enforcement experience with Client, SEC or other regulatory agency a plus
Industry affiliations



Academic and professional qualifications
4 year degree, advanced degrees a plus



Personal attributes
Energetic, detail-oriented, organized, articulate, willing to take responsibility, and comfortable speaking and responding to comments and questions regarding review work
Demonstrated analytical skills
Demonstrated written and oral communication skills
Demonstrated interpersonal skills
Constructive and positive approach to challenges
Self motivated, proactive and able to manage multiple priorities
Ability to work independently and in a team environment
Ability to represent and enforce compliance while considering the needs of the business
Able to support point of view when challenged
Ability to anticipate and provide solutions to complex problems