Our client is looking for an AVP, Compliance Testing Lead to join their growing team in either LA, NY, or DC.
Location(s): Los Angeles, CA; New York, NY; or Washington, DC. OR 100% REMOTE (candidate choice)
Job Description & Synthesis
This colleague will work under the direction of the Chief Compliance Officer for Wealth Management and have responsibility for the development and execution of a risk-based testing program within the Wealth Management lines of business. This includes the execution and maintenance of testing performed internally as well as independently validating and assessing self-testing executed by the business related to compliance. The Testing Analyst Lead will work with the lines of business and compliance peers to establish and maintain appropriate testing forums, testing schedules, and status reporting of all testing activity. Additionally, the Testing Analyst Lead maintains the program and develops and reviews testing reports issued to management.