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Senior Compliance Manger - Broker Dealer Testing
Larson Maddox • New York, NY 10261 • Posted 2 days ago
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In-person • Full-time • Senior Manager
Job Highlights
Using AI ⚡ to summarize the original job post
Larson Maddox is seeking an experienced Compliance professional at a Senior Manager/Senior Vice President level to lead specialist Compliance Testing programs across the firm's Broker Dealer business, with an initial focus on Volcker Testing. The role involves devising and delivering the annual Compliance Testing program, leading specialist testing engagements, and working with senior business leaders to remediate gaps arising from Compliance Testing.
Responsibilities
- Devise and deliver upon the firm's annual Compliance Testing program
- Lead specialist Testing engagements across the Broker Dealer business
- Lead Volcker rule testing
- Work with senior business leaders to remediate gaps arising from Compliance Testing
- Identify improvements to the annual Compliance Testing program
Qualifications
Required
- Minimum of 5+ years of relevant Compliance Testing experience gained in a Broker Dealer or Wholesale banking
- Experience and subject matter expertise of Volcker rule preferred
- Excellent working knowledge of the regulations governing the Broker Dealer Space
Preferred
- Securities Industry registration
Full Job Description
Our client, one of America's largest banking groups, is looking to hire an experienced Compliance professional at a Senior Manager / Senior Vice President level to lead specialist Compliance Testing programs across the firms Broker Dealer business with an initial focus on Volcker Testing. The firm are one of the world's largest banking groups whose global presence continues to go from strength to strength. The Broker Deal business whilst among the largest in the US, it is still growing, and this is one of two new hires in this specialist Compliance Testing group.
You will report directly into the Americas Head of Wholesale Banking Compliance Testing.
The Senior Compliance Testing Manager will be responsible for…
- Devising and delivering upon the firms annual Compliance Testing program
- Leading specialist Testing engagements across the Broker Dealer business
- Leading Volcker rule testing
- Working with senior business leaders to remediate gaps arising from Compliance Testing
- Identifying improvements to the annual Compliance Testing program
The Senior Compliance Testing Manager should have the following qualifications…
- Minimum of 5+ years of relevant Compliance Testing experience gained in a Broker Dealer or Wholesale banking
- Experience and subject matter expertise of Volcker rule preferred
- Excellent working knowledge of the regulations governing the Broker Dealer Space
- Securities Industry registration - not essential but a nice to have.
- Exceptional interpersonal skills
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