Job Description

We are partnering with a leading financial institution to appoint a senior compliance officer to support the ongoing development and execution of its compliance testing program.

This role sits in the 2LOD working with the core compliance group, business leaders, and senior stakeholders to ensure that regulatory obligations are met, risks are appropriately identified, and controls are operating effectively.

What you'll be doing:

• Work with Compliance leadership on the design, implementation, and ongoing enhancement of the Compliance Testing & Monitoring Program.
• Evaluate first line testing and monitoring activities, ensuring alignment with firmwide standards and regulatory expectations.
• Assess control design and operating effectiveness, including methodology, sampling, and documentation quality.
• Contribute to the development and execution of the Compliance Coverage Plan, ensuring key risks and business activities are appropriately covered.
• Partner with business units and Risk Owners to map regulatory obligations to control frameworks
• Provide advice and guidance on control effectiveness, testing approaches, and risk coverage, identifying gaps, weaknesses, and emerging risks, and support remediation efforts
• Maintain and enhance policies, procedures, templates, and testing methodologies
• Contribute to strategic initiatives and continuous improvement projects across the Compliance function.

What they're looking for:

• 5+ years of experience within Compliance Testing or Internal Audit within a Broker Dealer or Investment Banking firm
• Strong understanding of compliance testing and monitoring frameworks within Capital Markets

For more information, please contact Thomas Byrne at thomas@pinnaclecareercoach.com

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