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Controls Testing & Assurance – Fixed Income and Currencies – VP

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Our client is seeking a Vice President for their Controls Testing & Assurance (CT&A) team, focusing on Compliance Testing within the Fixed Income and Currencies (FIC) sector. This role offers an exciting opportunity to be part of a dynamic team that ensures the effectiveness of business controls and adherence to regulations. The successful candidate will enjoy a diverse and inclusive environment that values innovation, collaboration, and change.

What you'll do:
As Vice President in our CT&A team focusing on FIC, you will play a pivotal role in conducting comprehensive Compliance Testing reviews of our Institutional FIC Sales and Trading businesses. You will develop innovative testing modules across all business activities to ensure adherence to regulatory requirements. Your ability to maintain strong relationships with various teams such as Business Line Compliance, Front Office, Operations, Group Audit will be crucial for success. You will also participate in creating a review work plan based on annual compliance risk assessments. Leading Compliance Testing reviews of the FIC business and coordinating with key Firm stakeholders will be integral parts of your role.
• Conduct Compliance Testing reviews of the Firm’s Institutional FIC Sales and Trading businesses.
• Develop testing modules across all business activities to evaluate adherence to regulatory requirements.
• Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region.
• Participate in developing a review work plan based on the results of the annual compliance risk assessment.
• Manage Compliance Testing reviews of the FIC business by working with colleagues who will support you.
• Coordinate and establish working relationships with key Firm stakeholders.


What you bring:
As the Vice President for our CT&A team focusing on FIC, you bring along a wealth of experience from a financial services firm or a self-regulatory organization in a Compliance, Legal or Audit role. Your experience with Compliance Testing or Audit will be invaluable in this role. Your knowledge of FIC products and relevant regulations will be crucial for success. Your history of conducting Compliance Testing reviews or similar reviews/audits will be highly beneficial. Your excellent interpersonal and communication skills will enable you to interact effectively with internal and external stakeholders.
• BA or BS Degree is essential. JD, MBA or master’s degree would be advantageous.
• Extensive experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit role is required.
• Moderate experience with Compliance Testing or Audit is necessary.
• Knowledge of FIC products and relevant regulations is mandatory.
• History of conducting Compliance Testing reviews or similar reviews/audits would be beneficial.
• Excellent interpersonal and communication skills are needed.


What sets this company apart:
Our client is committed to fostering an inclusive workplace that embraces diversity, innovation, and collaboration.

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Sell-side Compliance

Industry: Financial Services

Salary: $125,000 - $180,000 per year

Workplace Type: Hybrid

Experience Level: Mid Management

Language: English - Professional working

Location: New York

Job Reference: CEKGZD-B8252C97

Date posted: July 2, 2024

Consultant: Daniela Garcia

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