AVP- Compliance Testing & Quality Assurance
Responsibilities:
• Complete and document QA and ComplianceTesting work. Make recommendations for improving processes across the global Compliance function
• Assist the execution of the global end to end process for the roll out of the annual Compliance QA and Compliance Program
• Work closely with the global team to execute coordinated QA and Compliance Testing amongst the three regional businesses
• Assist with the continuous improvement of the QA and Conformance Testing Program from both an effectiveness and efficiency perspective
• Supporting the collection, compilation and communication of Compliance QA and Compliance Testing results
• Assist in the coordination of global QA and Compliance Testing initiatives with relevant stakeholders, including the Regional Heads of Compliance and the Product and Functional Compliance Heads for all regions
• Provide strategic support to the Head of the department
• Liaise with functional heads within Risk and Control to ensure global consistency in the coverage model
Qualifications:
• Bachelor's degree
• 3-7+ years of experience in Audit with a start at a big 4 public accounting firm with strong understanding of controls testing and Banking compliance concepts, or relevant work within a legal/compliance division of a large global bank.
• Strong relevant technical expertise combined with relevant experience and understanding of the investment banking industry related to Compliance Reviews, Compliance Testing, Quality Assurance, Investigations or Audit
• Experience in executing testing in a large and complex Investment Banking organization
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