Vice President, Compliance Monitoring Program

Our client is seeking a Vice President, Compliance Monitoring Program within a globally esteemed financial institution. You will collaborate with highly knowledgeable colleagues across international regions, contributing meaningfully to both local and global compliance initiatives while fostering a culture of integrity and accountability.

Key Responsibilities:
In the capacity of Vice President, Compliance Monitoring Program, you will be entrusted with overseeing essential elements of the compliance monitoring framework for US operations as well as select global business areas. Your daily responsibilities will encompass close cooperation with regional teams worldwide to refine monitoring activities, enhance program design elements, and ensure seamless coordination among stakeholders. You will play a vital role in maintaining current procedures while providing insightful MIS reporting for ongoing evaluation. By engaging in quality assurance reviews and supporting compliance testing initiatives, you will help safeguard regulatory integrity across all business units. Your ability to communicate findings effectively will be instrumental in driving improvements and nurturing a culture rooted in compliance. Furthermore, you will have opportunities to participate in collaborative projects that further strengthen core compliance functions within a supportive team environment.

• Assist in the design, implementation, and coordination of the Compliance Monitoring Program by evaluating its components and enhancing key aspects in partnership with stakeholders across all lines of defense.
• Collaborate with colleagues internationally to develop ongoing and prospective Monitoring Activities (MAs), ensuring alignment with enterprise standards and optimal coverage.
• Assess the viability of Monitoring Activities through scope and sampling alignment; support improvements in execution; collate documentation; maintain evidence organization; and ensure proper record retention.
• Conduct quality assurance reviews of Monitoring Activities against established standards to uphold high levels of efficiency and effectiveness.
• Maintain and update procedures, templates, and documentation as necessary to reflect evolving regulatory requirements.
• Monitor program progress by developing a Management Information System (MIS) reporting for tracking and evaluation of Monitoring Activities.
• Communicate identified deficiencies to key stakeholders with a tactful, credible challenge to promote continuous improvement.
• Support compliance testing efforts that contribute to the overall Compliance Coverage Plan by assisting with test execution as required.
• Participate actively in issue management processes to foster a culture of compliance throughout the enterprise.
• Contribute towards collaborative working groups and special projects aimed at enhancing Core Compliance functions.

Key Requirements:
Your established experience in compliance monitoring or regulatory risk management within financial services will be invaluable in this Vice President position. You offer not only technical proficiency but also a sincere commitment to cultivating collaborative relationships across diverse teams. Your background encompasses direct involvement with broker dealers or GSIBs where you have acquired profound insights into global securities markets and derivative products. You are adept at navigating intricate regulatory environments using advanced audit principles whilst utilizing sophisticated surveillance tools. Your interpersonal strengths enable you to engage constructively with colleagues at all levels—building trust through honest communication and shared objectives. Organizationally astute and meticulous by nature, you excel at managing multiple work streams concurrently whilst maintaining clarity under pressure. Your competence with industry-standard software ensures efficient documentation/reporting processes that underpin ongoing compliance objectives.

• Bachelor’s degree or equivalent progressive work experience demonstrating commitment to professional growth.
• Minimum five to seven years of relevant experience in compliance or regulatory roles within financial services.
• Experience working with registered US broker dealers, swap dealers, Global Systematically Important Banks (GSIBs), or associated regulators is highly desirable.
• Comprehensive understanding of global security and derivative products/markets including trading behaviors, market platforms, vendor technologies, operational elements; experience in trade or communications surveillance is advantageous.
• Thorough knowledge of financial product rules/regulatory landscape coupled with strong awareness of market abuse behavior surveillance tools/applications for detecting manipulation.
• Advanced grasp of testing/audit concepts/principles as well as control analysis/evaluation methodologies relevant to compliance monitoring.
• Excellent interpersonal skills enabling you to build dependable relationships with senior managers/stakeholders globally while fostering collaborative networks.
• Outstanding organizational abilities combined with clear written/oral communication skills for effective client service delivery.
• Strong analytical skills marked by attention to detail/data evaluation capabilities allowing comprehension of complex compliance-related market issues.
• Proficiency in Excel, Word, PowerPoint, SharePoint; familiarity with market surveillance systems/applications is beneficial.

What sets this company apart:

• The organization distinguishes itself through its steadfast commitment to colleague development, skill enhancement, and equitable compensation practices.

What's next:
If interested in this position, please contact Daniela Garcia at +1 332 205 3839 or Daniela.Garcia@robertwalters.com