Compliance Testing Director - Capital Markets - Larson Maddox : Job Details

Compliance Testing Director - Capital MarketsOur client, one of America's largest banking groups, is looking to hire an experienced Compliance professional at Director level to lead specialist Compliance Testing programs across the firms Capital Markets business. This is a new hire who will form part of the Compliance Testing & Monitoring leadership team and will play a pivotal role in providing leadership and setting the Compliance Testing strategy.You will report directly into the Americas Head of Compliance Monitoring & Testing.The Compliance Testing Director will be responsible for...

• Devising and delivering upon the firms annual Compliance Testing program
• Leading specialist Testing engagements across the Capital Markets business
• Leading a specialist team of Compliance Testing Officers
• Working with senior business leaders to raise exceptions and remediate gaps arising from Compliance Testing
• Identifying key improvements to the annual Compliance Testing program

The Compliance Testing Director should have the following qualifications...

• 10+ years of relevant Compliance Testing experience gained in the Capital Markets / Broker Dealer arm of a Wholesale bank or similar
• Capital Markets Auditors with right level of experience will be considered
• Experience and subject matter expertise of the rules and regulations governing the Capital Markets / Broker Dealer space
• Exceptional interpersonal skills and relationship management skills