Compliance Officer
pinnacle career coachingNew York, NY
Compliance Officer
pinnacle career coachingNew York, NY
today
Occupations
Compliance OfficersCompliance ManagersSecurities, Commodities, and Financial Services Sales AgentsIndustries
Investment Banking and Securities IntermediationMiscellaneous IntermediationSecurities and Commodity ExchangesAbout the role
We've partnered with an Investment bank who are looking for several compliance testing professionals to join their team. We have multiple open positions for people with experience with capital markets testing products specifically. They currently operate on a hybrid schedule (3 days in office) and are based in Manhattan. They're not looking to silo you in a specific product group, so if you're currently in a role focused on just one product group and would like a more rounded exposure to other areas, then this could be a great growth position.
What you'll be doing:
Support the development and execution of the annual Compliance Testing and Monitoring Plan. Define the scope of reviews, design detailed testing procedures, and organize supporting documentation. Conduct testing engagements and prepare comprehensive reports outlining findings, exceptions, and recommended corrective action plans. Communicate identified deficiencies to business partners and key stakeholders, providing constructive and credible challenge where appropriate. Oversee and track remediation efforts to ensure timely and effective resolution of identified gaps. Develop and maintain Testing and Monitoring metrics, contributing to departmental reporting and performance insights. Support issue management processes, including the development, documentation, and tracking of Compliance-identified findings through remediation. Assist in building and maintaining a comprehensive rules inventory covering applicable laws and regulations What they're looking for 5+ years of compliance testing experience within investment banking and capital markets For more information, please contact Thomas Byrne at thomas@pinnaclecareercoach.com
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JOB OVERVIEW
Experience level
Senior
Location
New York, NY
Occupation
Compliance Officers
Industry
Investment Banking and Securities Intermediation
Posted
today
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