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Controls Testing & Assurance (CT&A) – Assistant Vice President

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Our client is seeking a dedicated and experienced Assistant Vice President for their Controls Testing & Assurance (CT&A) – Technology Testing team. This role offers an exciting opportunity to be part of a dynamic team that ensures the firm's compliance with applicable laws and regulations. The successful candidate will have the chance to work in a diverse and inclusive environment that values change, innovation, and collaboration.

What you'll do:
As an Assistant Vice President for Controls Testing & Assurance (CT&A) – Technology Testing, you will play a pivotal role in ensuring our client's adherence to legal, regulatory, and internal policies. You will be responsible for conducting comprehensive compliance reviews under the guidance of the Americas Head of Compliance Testing. Your role will involve developing testing modules for all business activities to ensure strict adherence to regulatory requirements. You will also identify potential compliance risks within business processes and assess whether existing control frameworks adequately manage these risks. Your ability to prepare detailed reports on review findings and recommendations will be crucial in this role.
• Conduct compliance reviews under the direction of the Americas Head of Compliance Testing
• Develop testing modules and conduct testing across all business activities to evaluate adherence to regulatory requirements
• Identify Compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks
• Prepare and distribute reports to senior management detailing review findings and recommendations
• Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region
• Interact with Senior Manager of Compliance Testing both in the U.S. and in other Regions


What you bring:
The ideal candidate for the Assistant Vice President for Controls Testing & Assurance (CT&A) – Technology Testing role will bring a wealth of knowledge and experience in financial regulations. You will have a strong understanding of the rules and regulations governing financial institutions, including those set by FRB, OCC, FDIC, FINRA, SEC, NFA, and CFTC. Your background in Corporate Banking, Private Bank, or Bank Regulatory related products and services will be highly beneficial. Your ability to understand and interpret various laws, regulations, and policies will be crucial in this role. Excellent interpersonal skills are required as you will interact with internal and external stakeholders at all levels.
• Strong knowledge of regulations governing financial institutions including FRB, OCC, FDIC, FINRA, SEC, NFA, and CFTC rules
• Knowledge of Corporate Banking, Private Bank or Bank Regulatory related products and services
• Relevant experience within Legal, Compliance, Operations, or Audit in a financial services firm or regulatory organization
• Ability to understand and interpret various laws, regulations, and policies
• Excellent interpersonal skills with the ability to interact effectively with internal and external stakeholders
• Strong business writing skills


What sets this company apart:
Our client is committed to fostering a diverse and inclusive environment that embraces change, innovation, and collaboration.

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Sell-side Compliance

Industry: Financial Services

Salary: $75,000 - $110,000 per year

Workplace Type: Hybrid

Experience Level: Mid Management

Language: English - Professional working

Location: Jacksonville

Job Reference: 7LD8AL-EACB6D87

Date posted: July 2, 2024

Consultant: Daniela Garcia

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