Lead a high-performing Compliance Monitoring & Assurance team, fostering a culture of accountability, collaboration, and continuous improvement
Job Summary
Lead a high-performing Compliance Monitoring & Assurance team, fostering a culture of accountability, collaboration, and continuous improvement.
Develop and oversee the firm’s global annual monitoring and assurance plan, designing and enhancing compliance testing methodologies.
Conduct independent monitoring and testing reviews across front office and corporate functions, identifying control gaps and driving timely risk remediation.
Matching Summary
Lead a high-performing Compliance Monitoring & Assurance team, fostering a culture of accountability, collaboration, and continuous improvement.
Salary
Base: $175,000-$200,000; Bonus/Equity: Discretionary bonus component; Benefits: Not specified
Skills & Requirements
Must-have
Design and implement compliance testing
Oversee global monitoring plan
Conduct independent monitoring reviews
Identify control gaps and escalate findings
Present results to Compliance Risk Committee
Nice-to-have
Foster accountability and collaboration
Continuous improvement culture
Partner with business stakeholders
Key Requirements
10 years compliance, risk, or internal audit experience
5 years broker-dealer monitoring/assurance/testing
Deep understanding of U.S. broker-dealer regulatory framework
Prior leadership experience managing a monitoring team