AVP Compliance

  • $120-150k base plus bonus
  • New York, NY, USA
  • Permanent, Full time
  • Robert Half - US
  • 13 Dec 17 2017-12-13

The AVP Compliance role covers Testing, Examinations, updating the Compliance Program policies/procedures, and Surveillance. Our client requires at least 5 to 7 years Corporate Compliance experience within an International Bank, Broker Dealer or Regulatory body.

THE COMPANY

 

Robert Half Financial Services are currently recruiting for an AVP Compliance role within an International Financial Services firm, located in downtown New York. Our client requires at least 5 to 7 years Corporate Compliance experience within an International Bank, Broker Dealer or Regulatory body.

 

THE ROLE

The AVP Compliance role covers Testing, Examinations, updating the Compliance Program policies/procedures, and Surveillance. Other core responsibilities are below:

 

RESPONSIBILITIES

  • Perform continuous testing and examinations of ratings documentation for compliance with internal policies and procedures.
  • Assist in the preparation of periodic and ad hoc compliance reports outlining the results of Compliance’s Surveillance program
  • Work with the Compliance Surveillance Team to enhance the Surveillance Program and improve existing surveillance program.
  • Develop creative automated solutions to address testing needs and present information in a concise and comprehensible manner.

 

QUALIFICATIONS/SKILLS

  • Minimum of a Bachelor’s degree is required.
  • Strong written and oral communication skills with the ability to interact with senior management.
  • At least 5 to 7 years of compliance and/or audit experience focusing on compliance-related activities.
  • Financial institutions or capital markets environment experience.
  • Professional, pro-active, flexible, diligent and dependable.
  • Excellent interpersonal skills and team oriented.
  • Must be highly organized and efficient with the ability to multi-task and meet tight deadlines.
  • Must be able to work on own initiatives, with limited supervision.
  • Multilanguage with ability to translate documents is a plus.
  • Strong Microsoft Access, Excel and Word skills.

 

This AVP Compliance role is located in downtown New York so please only apply if you are able to travel to this location, and have relevant recent experience. The salary is flexible dependent on experience, however the initial range is $120-150k base plus bonus. If your profile matches the above criteria please submit your resume or contact me on trishan.khareghat@roberthalf.com