Sr. Compliance Officer - Monitoring & Testing

Our client is seeking a Senior Compliance Officer to join their Compliance Oversight Program in New York, NY. This is an exceptional opportunity for you to become part of a knowledgeable and supportive compliance team that values growth, skill development, and career progression. If you are looking for a role where your interpersonal skills, attention to detail, and collaborative approach will be celebrated, this position offers the perfect platform for you to thrive.

Key Responsibilities:
As a Senior Compliance Officer within the Compliance Oversight Program, you will be entrusted with responsibilities that span both core compliance monitoring and broader organizational support. Your day-to-day activities will involve collaborating with global teams to develop robust testing plans, conducting detailed reviews of business processes, preparing insightful reports on findings, and communicating results with clarity. You will play an integral role in building relationships across departments, identifying opportunities for improved monitoring or training, developing meaningful metrics for reporting purposes, and supporting issue management processes. In addition to these core duties, you will participate in special projects designed to enhance overall compliance functions while contributing to annual training requirements. Success in this role requires not only technical proficiency but also a commitment to fostering an inclusive culture of compliance throughout the organization.

• Assist in developing and executing the annual Compliance Testing and Monitoring plan by collaborating closely with regional teams across the globe.
• Determine the scope of compliance reviews, build detailed review steps, and organize documentary evidence to ensure thorough oversight.
• Execute testing engagements with precision and prepare comprehensive reports documenting exceptions and action plans for remediation.
• Communicate identified deficiencies effectively to business units and key stakeholders while exercising credible challenge in all interactions.
• Oversee the remediation process for gaps discovered during compliance testing, ensuring timely resolution and continuous improvement.
• Build strong relationships with key stakeholders globally to foster a culture of compliance and shared responsibility.
• Identify areas for enhanced monitoring, testing or training by analyzing trends and collaborating with colleagues across departments.
• Develop metrics for Testing and Monitoring activities, and contribute meaningfully to department-wide reporting initiatives.
• Support issues management by developing tracking systems for compliance-identified findings and facilitating effective follow-up.
• Contribute to special projects aimed at enhancing compliance functions as well as supporting annual training requirements and regulatory change impact assessments.

Key Requirements:
To excel as a Senior Compliance Officer within this Compliance Oversight Program, you will bring proven experience gained from roles requiring deep familiarity with regulatory frameworks governing financial institutions. Your background should reflect success in managing complex projects involving multiple stakeholders while demonstrating empathy and dependability in all interactions. You will possess excellent communication skills—both oral and written—that enable you to convey findings sensitively yet assertively when necessary. Your ability to collaborate within teams of varying sizes will be essential as you work together towards shared goals. A client service mindset combined with strong analytical acumen ensures that you can provide valuable guidance on regulatory matters while maintaining meticulous attention to detail. Proficiency in standard office software further supports your effectiveness in documenting processes and presenting information clearly. Above all else, your commitment to nurturing positive relationships—internally among colleagues as well as externally with regulators—will set you apart as an ideal candidate for this role.

• Bachelor’s degree or equivalent progressive work experience demonstrating your commitment to professional development.
• 5-7 years of related experience in compliance oversight or similar roles within financial services environments.
• JD desirable but not required; candidates with advanced legal or regulatory knowledge are encouraged to apply.
• Comprehensive understanding of operations, finance, regulatory reporting, sales and trading practices as well as applicable rules and regulations relevant to global financial institutions.
• Excellent interpersonal skills enabling you to build trust-based relationships with senior managers, line managers, regulators, and other stakeholders across the organization.
• Outstanding organizational abilities allowing you to manage multiple work streams simultaneously while maintaining attention to detail in all tasks undertaken.
• Client service orientation demonstrated by your ability to partner closely with business leaders on regulatory matters while providing thoughtful advice.
• Strong analytical skills paired with sound judgment enabling you to evaluate complex regulatory business issues effectively.
• Project management capabilities including time management skills necessary for thriving in deadline-driven environments involving diverse partners.
• Proficiency in Word, Excel, PowerPoint supporting your ability to document findings clearly and communicate insights effectively.

What sets this company apart:

• This organization stands out as a global leader in capital markets products and services thanks to its unwavering commitment to innovation, execution excellence, and client-centricity.

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