Summary:

This role positions you as a critical line of defense in a major banking institution where your testing and analysis directly influences executive decision-making and shapes business practices across multiple departments. You'll gain unparalleled visibility through regular senior leadership presentations, develop sophisticated regulatory expertise across banking compliance domains, and build executive communication skills that accelerate career advancement into Compliance, Risk, or Internal Audit leadership roles.

The combination of strategic impact, cross-functional exposure, investigative problem-solving, and the professional development infrastructure of a global banking platform like CACIB makes this the ideal next step for building a high-trajectory career in financial services compliance.

Key Responsibilities:

General
·       Strategic Testing Leadership: Orchestrate high-impact compliance reviews across diverse banking operations, serving as the architect of the Annual Compliance Testing Plan. You'll design and execute sophisticated testing strategies that safeguard organizational integrity while enabling business growth.
·       Craft Compelling Compliance Narratives: Transform complex regulatory findings into crystal-clear documentation that tells the story. Your work papers won't just meet third-party standards—they'll set the benchmark for clarity, thoroughness, and professional excellence that auditors and regulators applaud.
·       Detective Work That Drives Change: Uncover hidden risks and decode the "why" behind compliance gaps. You're not just identifying issues—you're the investigative force that traces problems to their source and architects innovative solutions that strengthen the entire organization.
·       Command the Boardroom: Present your findings to the people who matter most: Department Heads, the Chief Compliance Officer, and the Executive Committee. Your insights shape strategy, influence policy, and drive decision-making at the highest organizational levels.
·       Author Reports That Move Mountains: Draft executive-level reports that don't just inform—they inspire action. Your communications bridge the gap between technical compliance and business strategy, making complex regulatory matters accessible and actionable for senior leadership. 
·       Own the Accountability Engine: Be the driving force ensuring nothing falls through the cracks. Track issues from discovery to resolution, holding action owners accountable and maintaining the momentum that turns findings into fixed processes.
·       Validate Victory: Close the loop with authority. Verify remediation effectiveness, document successful closures, and provide the validation memos that give leadership confidence in the organization's compliance posture.

Salary Range: $145K-160K

#LI-DNI

·       Monitor What Matters: Execute strategic monitoring activities that keep the organization ahead of regulatory curves. Your proactive surveillance identifies emerging risks before they become problems, positioning the bank as a compliance leader rather than a follower.

·       Empowered: Every testing review you conduct, every report you author, and every issue you resolve strengthens the organization's reputation, protects its assets, and advances your career as a trusted compliance authority.

Other
·       Be the Intelligence Hub: Serve as the vital communication nexus between frontline execution and executive leadership. Your proactive status updates don't just report progress—they provide strategic visibility that enables leadership to make informed decisions, allocate resources effectively, and maintain organizational agility in a dynamic regulatory environment.
·       Shape the Future of Compliance: Move beyond execution to innovation. Contribute your frontline insights and analytical expertise to architect next year's Annual Testing and Monitoring Plans. Your recommendations influence organizational priorities, resource allocation, and the strategic direction of the entire compliance function making you a key voice in shaping how the bank approaches regulatory excellence.

Education Essential: College Degree

·       Be the Regulatory Response Champion: Step into the spotlight when it matters most. Support high-stakes regulatory examinations and internal audits by providing expert responses that showcase the organization's compliance sophistication. Your contributions protect the bank's reputation and demonstrate regulatory excellence to external stakeholders.

·       Refine the Compliance Playbook: Continuously elevate team standards by contributing to procedure enhancements and process improvements. Your hands-on experience translates into better methodologies, clearer documentation standards, and more efficient workflows that benefit the entire compliance organization.

·       Embrace Dynamic Opportunities: Thrive in a role where no two days are identical. Take on special projects and strategic initiatives that expand your expertise, increase your visibility, and position you as the go-to professional for high-priority compliance challenges.

SPECIAL ROLE REQUIREMENTS: 
·       At least 7 years' experience in the financial services industry with a focus on compliance
·       5 years of Audit or Compliance Testing experience required, with a focus on capital market
·       Good knowledge of risks and controls, including analyzing risks, identifying and documenting controls, and assessing control design and operating effectiveness
·       Strong knowledge of areas such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA, NFA, CFTC
·       General knowledge of one or more of other banking products/services and regulations preferred:
·       Banking regulations
·       Business Conducts (Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.)
·       Financial Crime (AML, Sanctions/OFAC)
·       Other regulations (privacy, tax compliance, cybersecurity etc.)
·       Ability to manage multiple projects using technology and analytic techniques (advanced in excel) to work effectively and efficiently in a fast-paced environment.
·       Strong attention to details and analytical skills
·       Ability to work with minimum supervisions and prioritize multiple tasks to focus on meeting the expected timelines
·       Good communication skills to be able to present clearly and concisely to all levels of stakeholders

·       Ability to engage with stakeholders and build rapport and partnership with stakeholders

·       Project management experience preferred

·       Professional designations in the auditing field (e.g., CPA, CIA, CISA) preferred

·       Experience working in capital market regulators preferred

·       Professional designations in the auditing field (e.g., CPA, CIA, CISA) preferred

·       Ability to manage multiple projects using technology and analytic techniques (advanced in excel) to work effectively and efficiently in a fast-paced environment.

·       Strong attention to details and analytical skills

·       Ability to work with minimum supervisions and prioritize multiple tasks to focus on meeting the expected timelines

·       Good communication skills to be able to present clearly and concisely to all levels of stakeholders and ability to build rapport and partnership with stakeholders
Good knowledge of risks and controls, including analyzing risks, identifying and documenting controls, and assessing control design and operating effectiveness

·       Strong knowledge of areas such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA, NFA, CFTC rules

·       FRB / NYS DFS regulations
·       Business Conducts (Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.)

·       AML/OFAC