Job Description

This 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 globe.

Compliance Monitoring and Testing

 Execute the annual Compliance testing and monitoring plan

 Determine scope of reviews

 Prepare cohesive workpapers for each test in accordance with firm standards.

 Build relationships with Key Stakeholders and communicate deficiencies of the test findings in advance of

report issuance.

 Prepare reports for management that highlights the scope, testing approach and the overall results and

findings of the compliance testing review.

 Execute Branch Inspections

 Oversee remediation of gaps identified in the testing process

 Support issues management development and tracking of Compliance-identified findings

 Participate in special projects as they arise to enhance compliance functions

Preferred Qualifications

 7 or more years of experience with a registered US broker dealer or regulator.