Head of QA and Testing (Broker-Dealer) Head of QA and Testing (Broker-Dealer) …

Selby Jennings Buyside
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
Negotiable
Selby Jennings Buyside
in Chicago, IL, United States
Permanent, Full time
Be the first to apply
Negotiable
Selby Jennings Buyside
A rapidly growing, internationally focused Broker-Dealer is looking for a Head of Quality Assurance and Testing to support the Chief AML Officer in creation and execution of a world-class compliance testing program. The Head of QA and Testing will be responsible for ongoing evaluation of the firm's AML Policies and Procedures, updating operational guidelines in alignment with regulatory changes, and training of the firm's AML and brokerage staff on how to maintain the integrity of the compliance program.

Title: Head of QA and Testing (Broker-Dealer)

Company Summary: A rapidly growing, internationally focused Broker-Dealer is looking for a Head of Quality Assurance and Testing to support the Chief AML Officer in creation and execution of a world-class compliance testing program. The Head of QA and Testing will be responsible for ongoing evaluation of the firm's AML Policies and Procedures, updating operational guidelines in alignment with regulatory changes, and training of the firm's AML and brokerage staff on how to maintain the integrity of the compliance program.

The Head of QA and Testing will be responsible for:

  • Ongoing analysis of the firm's existing AML program, identification of insufficiencies in existing Policies and Procedures, and advising the Chief AML Officer on possible solutions
  • Serve as an expert on trading surveillance and help ensure firm-wide compliance with AML, BSA, OFAC, other Financial Crimes, and regulatory reporting requirements
  • Training of AML staff on pertinent AML issues to increase the effectiveness of the program from a QA and enhanced monitoring perspective

The Head of QA and Testing should have the following qualifications:

  • At least 7 Years of experience in AML and Compliance Testing with a Broker-Dealer, ideally leading teams through monitoring projects
  • CAMS certification
  • Series 7 and/or 24 preferred

If you are interested in the Head of QA and Testing role, then please don't wait to apply.

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