Vice President, Compliance & Operational Risk Testing

Vice President, Compliance & Operational Risk Testing

About the Company

Diverse financial services firm & investment bank

Industry

Financial Services

Type

Public Company

Founded

2000

Employees

10,001+

Categories

• Financial Services
• Finance
• Banking
• Wealth Management
• Banking & Mortgages
• Asset Management
• Investment Banking
• Investment Management
• Venture Capital
• Consulting & Professional Services
• B2B
• Business
• Corporations
• JPMorgan Chase
• Currencies
• New York City
• Economics
• Insurance
• Credit

Specialties

Business Classifications

About the Role

The Company is seeking a Trade Surveillance Vice President to join their Specialized Testing Team within the Compliance, Conduct, and Operational Risk (CCOR) organization. The successful candidate will be at the forefront of ensuring the firm's resilience and responsible business growth by executing testing activities that mitigate risks associated with market abuse, manipulation, insider trading, and other forms of misconduct. This role requires a professional with a proven track record in developing and implementing comprehensive testing strategies that align with regulatory requirements and firm policies. The candidate will be responsible for leading detailed reviews, preparing work papers, and writing test reports that effectively communicate the results to senior management and other relevant functions.

Applicants must have a minimum of 7 years' experience in leading and managing complex testing initiatives within a financial institution or a similar industry, with a Bachelor's degree as a minimum educational requirement. The role demands a detail-oriented individual with robust analytical, investigative, and problem-solving skills, who is also flexible to changing business priorities and can multitask in a dynamic environment. Strong interpersonal, communication, and organizational skills are essential, as is the ability to interact with personnel at all levels within the corporate framework. Preferred qualifications include at least 3 years' experience in a Trade or Trade Surveillance role. The ideal candidate will be adept at both independent and collaborative work, and will have the ability to manage multiple assignments with minimal supervision.

Hiring Manager Title

North America CCOR Specialized Testing Manager

Travel Percent

Less than 10%

Functions