Vice President, Senior Compliance Officer, Monitoring & Compliance Oversight

Vice President, Senior Compliance Officer, Monitoring & Compliance Oversight

About the Company

Leading global financial institution with broad exposure to compliance, surveillance, and risk functions.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is in search of a Vice President, Senior Compliance Officer for Monitoring and Compliance Oversight. The successful candidate will be instrumental in the development and enhancement of the firm's Compliance Monitoring program, with a focus on testing and risk assessments. This role demands a professional with a strong background in monitoring, testing, and regulatory compliance, particularly within complex financial institutions. Key responsibilities include the evaluation of monitoring routines, collaboration with global stakeholders, and the maintenance of compliance procedures and documentation. The role also involves the development of management reporting, the identification of control gaps, and the support of compliance testing activities. Applicants must have a Bachelor's degree and 5-7 years' experience in compliance, monitoring and testing, surveillance, audit, risk, or related financial services. A background within a broker-dealer, swap dealer, GSIB, regulator, or large financial institution is preferred. The ideal candidate will have a strong understanding of global securities and derivatives products, market structure, and trading behaviors. Familiarity with trade and communications surveillance, as well as market abuse regulatory expectations, is also desirable. Advanced skills in testing methodologies, audit principles, and risk evaluation are essential, along with excellent communication, stakeholder management, and project management abilities. The role requires the ability to work in a fast-paced, deadline-driven environment and to manage multiple priorities effectively.

Travel Percent
Less than 10%

Functions

• Legal