Pinnacle Career Coaching · 1 day ago
Compliance Testing
New York, NY
Full-time
Hybrid
Senior Level
$110K/yr - $135K/yr
5+ years expPinnacle Career Coaching has partnered with an Investment bank seeking compliance testing professionals to join their team. The role involves supporting the development and execution of compliance testing plans, conducting testing engagements, and communicating findings to stakeholders.
Staffing & Recruiting
Hiring Manager
Thomas Byrne
Responsibilities
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
Qualification
Required
Bachelors degree level educated
5+ years of compliance testing experience within investment banking and capital markets
Company
Pinnacle Career Coaching
We are a specialist financial services recruitment and career coaching service helping professionals reach their professional pinnacle.
0-1 employees
Funding
Current Stage
Early StageLeadership Team
Thomas Byrne
Founder
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