Email Alert for
ⓘ There was an unexpected error processing your request.
Please refresh the page and try again.
If the problem persists, please contact us with your issue.
You can always manage your preferences and update your interests to ensure you receive the most relevant opportunities.
Get ready to discover your next great opportunity.
Current
New York, NY, United States
MANAGER, COMPLIANCE TESTING Current is a leading U.S. fintech serving people who have been overlooked by traditional banks with nearly 4 million members. Headquartered in NYC, our results-driven environment enables us to build better products, grow faster and empower everyone on our team to have an impact on our business and our mission to improve
Job Source: CurrentBrown Brothers Harriman
New York, NY, United States
At BBH we value diverse backgrounds, so if your experience looks a little different from what we've outlined and you think you can bring value to the role, we will still welcome your application! What You Can Expect At BBH: If you join BBH you will find a collaborative environment that enables you to step outside your role to add value wherever y
Job Source: Brown Brothers HarrimanScotiabank
New York, NY, United States
Senior Manager, Compliance Testing Requisition ID: 200274 Salary Range: 110,700.00 - 211,800.00 Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to, the successful candidates relevant knowledge, skills, and experience. Join a purpose driven winning team, committed to r
Job Source: ScotiabankInsight Global
New York, NY, United States
Job Description Insight Global is looking for a Compliance Testing Analyst to join one of our largest financial services clients here in NYC. We are looking for someone who has a go-getter mentality, is solution oriented, and emulates a positive and energetic personality to enhance the team's culture. The ideal candidate will have some sort of au
Job Source: Insight GlobalWedbush Securities
New York, NY, United States
Job Description Wedbush Securities is one of the largest full-service investment banking and brokerage firms in the nation. We provide innovative financial solutions through Wealth Management, Capital Markets, and Clearing & Execution divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent broker/dea
Job Source: Wedbush SecuritiesAmalgamated Bank of NY
New York, NY, United States
The Head of Compliance Monitoring & Testing is responsible for ensuring compliance with regulatory requirements and internal policies across Amalgamated Bank. You will play a critical role in safeguarding the integrity of our operations, identifying and mitigating compliance risks, and driving a culture of compliance excellence throughout the organ
Job Source: Amalgamated Bank of NYTD Bank
New York, NY, United States
Work Location: Mount Laurel, New Jersey Hours: 40 Pay Details: $68,640 - $112,320 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may
Job Source: TD BankBitGo, Inc.
New York, NY, United States
BitGo - Director of Compliance Monitoring & Testing BitGo is the leader in digital asset financial services, providing institutional investors with liquidity, custody, and security solutions. Founded in 2013, BitGo pioneered the multi-signature wallet and is the first digital asset company to focus exclusively on serving institutional clients. Act
Job Source: BitGo, Inc., NY, United States
Compliance Testing - Manager
BBVA
Job Summary
Within the US Compliance unit of a large global foreign bank branch, the individual will assist the Head of the Compliance Testing Unit in the US, which is part of the global Compliance Testing team within BBVA. For this purpose, he or she will assist in conducting the global Compliance Testing program for the US Bank Branch, Broker/Dealer and Global Swap Dealer according to corporate guidelines and methodology, help preparing the annual plan, performing reviews and assisting with other Compliance processes such as risk assessments, issue management or reporting, among others.
For all the above, he or she will assist in maintaining strong coordination with the corporate team in Madrid.
Essential Duties and Responsibilities:
Assist the Head of US Compliance Testing in conducting a Compliance risk analysis at least twice a year to identify potential topics to review.
Assist the Head of US Compliance Testing in working with both the US Head of Compliance and his team and the Corporate Compliance Testing unit in Madrid to develop the annual Compliance Testing review plan and submit the plan to appropriate levels of Management for
approval.
Conduct Compliance Testing reviews in accordance with the plan and the approved testing
methodology.
Ability to identify and test compliance related controls, identify testing related issues, and meet with the requisite business owners to discuss the testing review with little or no supervision.
Provide timely information on his or her activities to the US Head of Compliance Testing.
He or she will be accountable for the reviews performed. In addition, this individual will assist
the US Head of Compliance Testing with any reports to be submitted to the Global compliance - testing committee.
Assist and at times follow up on action plans resulting from Compliance Testing reviews, tracking committed deadlines and raising and escalating any delays.
Help to identify opportunities and propose continuous improvement ideas for the Compliance
Testing function.
Assist the US Head of Compliance testing in achieving the objectives of the function.
Assist in responding to both internal and external requests and enquiries in coordination with
the hierarchy and other team members of US or Corporate Compliance function. This includes
requests or inquiries from regulatory authorities.
Requisites for the position:
Bachelor’s degree in an applicable major field of study required or equivalent relevant
experience.
At least 5 – 7 years in compliance testing and/or audit roles in the financial industry, with at
least 3 years in a more senior level lead role on a compliance testing team at a peer financial
institution.
Knowledge of AML and market integrity regulations (SEC, FINRA, CFTC, NFA, etc.), as well as US Consumer and Prudential regulations.
Experienced in the preparation of reports to Senior Management, as well as to regulators and
supervisors.
Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration), CRCM, ACAMS preferred.
Experience in coordinating with multi-disciplinary and multi-geographic teams.
Strong analysis and synthesis capacities.
Strong oral and written communication skills.
Goal-oriented.
Self-organization skills in a dynamic environment.
Ability to be a self-starter and work with limited supervision.
Spanish is a plus.
With respect to this position in our New York Office, the expected base salary ranges from $100,000 -$123,000. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.
Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
NOTE: THIS POSTING IS FOR INDICATION OF INTEREST ONLY. PLEASE VISIT THE BBVA CAREERS PAGE FOR MOST UP TO DATE POSTINGS.
#J-18808-Ljbffr
Email Alert for Compliance Testing - Manager jobs in , NY, United States
ⓘ There was an unexpected error processing your request.
Please refresh the page and try again.
If the problem persists, please contact us with your issue.
You can always manage your preferences and update your interests to ensure you receive the most relevant opportunities.
Get ready to discover your next great opportunity.