AVP - Compliance Testing

Avesta Computer Services
Jacksonville, FL
17 Nov 2024

Vacancy expired!

Job Title: AVP - Compliance Testing

Location: Jacksonville, FL

Type: Fulltime

Overview:Compliance is seeking an associate to work in our compliance team. The primary focus of the role is to conduct compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory, and internal Firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks

Your Key Responsibilities:
  • Conduct compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory and internal Firm policy requirements applicable to products and services in the Americas
  • Develop testing modules and conduct testing across all Americas business activities to evaluate adherence to regulatory requirements and compliance risks
  • Maintain solid working relationships with business line compliance, front office, operations, and other control groups throughout the region
  • Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing, regulatory adherence and business line compliance management, ensure review work plan addresses regulatory priorities, and that reviews are designed to meet applicable regulatory guidance
  • Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations
  • Identify compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks or whether any existing control framework adequately manages the risks

Your Skills and Experience:
  • Undergraduate degree required, JD or master’s is a plus
  • Strong knowledge of regulations governing financial institutions including the rules and regulations of the FRB, OCC, FINRA, SEC, NFA, CFTC, FDIC and CFPB and knowledge of Dodd-Frank (including Volcker Rule) and the Bank Holding Company Act is a plus
  • A background in compliance testing, audit, or risk is a strong plus
  • Relevant experience with a financial services firm within legal, compliance, operations or audit and/or regulatory organization in a role that relates to financial services
  • Ability to apply knowledge of regulations to numerous types of activities and operational arrangements in addition to interpreting the effect of new regulations on these activities
  • ID: #22909334
  • State: Florida Jacksonville 32099 Jacksonville USA
  • City: Jacksonville
  • Salary: Depends on Experience
  • Job type: Permanent
  • Showed: 2021-11-17
  • Deadline: 2022-01-15
  • Category: Et cetera