Save Job Back to Search Job Description Summary Similar JobsFast Growing CompanyHigh Vertical Mobility PotentialAbout Our ClientClient is the broker dealer arm of one of the largest bank's in the US. Client is growing their compliance function rapidly and looking to bring on top talent.Job DescriptionProven experience in designing, implementing, and executing risk-based compliance testing plans aligned with regulatory expectations and firm standards.Demonstrated ability to collaborate closely with senior compliance leadership to ensure timely and effective delivery of annual testing objectives.Prior experience managing and mentoring a small team (3-4 individuals), with a focus on performance oversight, coaching, and professional development.Strong background in leading end-to-end testing engagements, from scoping through execution, including identification of testing methodologies and evaluation criteria.Skilled in reviewing detailed workpapers and ensuring testing documentation meets internal quality standards and regulatory scrutiny.Ability to attract, retain, and grow a high-performing compliance testing team by identifying top talent and fostering continuous development.Track record of building productive, trust-based relationships with key stakeholders across business lines, compliance, legal, risk, and operations.Capable of exercising strong and credible challenge during stakeholder discussions, supported by a sound understanding of business processes and regulatory frameworks.Experienced in issue validation and able to facilitate agreement on findings while helping to develop practical and effective corrective action plans.Able to oversee the remediation lifecycle for issues identified through monitoring and testing, ensuring proper resolution and documentation.Proficient in coordinating with business units and control partners to ensure timely and complete closure of open testing-related issues.Possesses the insight and judgment necessary to identify opportunities for expanded or enhanced testing coverage based on risk trends and testing outcomes.Familiarity working with data analytics teams to define and generate metrics and reporting that support a transparent and well-governed testing program.Adaptable and responsive to organizational needs, with the ability to participate in or lead special initiatives that enhance the firm's compliance infrastructure.Excellent organizational and communication skills, enabling clear documentation and presentation of testing results to both compliance and business audiences.Strong knowledge of applicable regulatory requirements and control frameworks relevant to the firm's business and compliance testing mandate.MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.The Successful ApplicantMinimum of 10 years of relevant experience working within a registered U.S. broker-dealer or a regulatory body.Juris Doctor (JD) degree preferred but not mandatory.Comprehensive knowledge of broker-dealer operations, finance, regulatory reporting, sales and trading, and applicable securities laws, with demonstrated ability to quickly master new subject areas.Exceptional interpersonal and communication skills, both verbal and written, with strong organizational and leadership capabilities.Proven client service aptitude, including the ability to provide sound regulatory advice and collaborate effectively with senior leadership, line managers, and various stakeholders.Strong analytical thinking and meticulous attention to detail, coupled with solid judgment in assessing complex regulatory and business issues.Advanced project management expertise, with the ability to oversee and coordinate multiple concurrent initiatives involving diverse teams and business units.Thrive under pressure in fast-paced, deadline-oriented environments by applying excellent time management, prioritization, and planning skills.Skilled at engaging and working constructively with colleagues across all organizational levels, fostering collaborative team environments.Relationship-oriented with a proven track record of building and sustaining effective working relationships with regulators, business partners, and functional teams.Proficient user of Microsoft Office tools, including Word, Excel, and PowerPoint, to prepare reports, presentations, and analyses.What's on OfferChance to join one of the fastest growing broker-dealer compliance program's in the US. The candidate will have the opportunity to shape the direction of the firm at a pivotal moment.ContactConnor DuenasQuote job refJN-052025-6752444Job summarySectorBanking & Financial ServicesSub SectorCompliance & LegalIndustryFinancial ServicesLocationNew YorkContract TypePermanentConsultant nameConnor DuenasJob ReferenceJN-052025-6752444