Our client, an international bank, is looking for a Senior Compliance Officer (VP Level) to sit in the US Compliance Department and lead the testing program, registration, and training. This Senior officer will develop action plans for testing, perform and oversee testing, write summaries on those tests, and correspond with the regulators.
The ideal candidate will have:
- Minimum of 3 years of experience with a broker dealer.
- Understanding of internal controls framework.
- Testing experience.
- Familiarity with FINRA, SEC, NFA, CFTC rules.
- Audit or Controls experience.
- Project management experience.
- Bachelor's degree is a must.
Candidates must possess excellent written and communication skills.