VP Compliance Testing

About the Opportunity

A leading financial services organization is seeking an experienced compliance professional to join its Compliance Oversight team. This role is responsible for leading compliance monitoring and testing activities across broker-dealer and capital markets businesses while partnering with stakeholders across multiple functions to evaluate regulatory compliance, strengthen internal controls, and support a robust compliance framework.

This is an excellent opportunity for someone who enjoys working in a highly regulated environment, leading independent reviews, and influencing risk and compliance outcomes across the organization.

What You'll Do

Compliance Monitoring & Testing

• Develop and maintain risk-based compliance monitoring and testing programs.
• Plan and execute periodic compliance reviews across business units.
• Define testing objectives, scope, methodo...