Sr Compliance Testing Lead

About This Role

This role will oversee compliance inspections and support the development, implementation, and maintenance of compliance processes and monitoring functions. The Senior Compliance Testing Lead will serve as a trusted advisor to the business, offering guidance and oversight of regulated activities.

Responsibilities

• Conduct routine and targeted compliance monitoring and testing across financial services operations, focusing on cash products and money movement.
• Lead investigations of potential violations of ethical standards and noncompliance with applicable laws, regulations, and internal policies.
• Prepare clear and actionable inspection and assessment reports, including root cause analysis and recommendations for remediation.
• Provide compliance guidance and advisory support to business units to mitigate risk and strengthen control environments.
• Oversee the design, implementation, and maintenance of compliance policies and procedures.
• Identify and implement corrective action plans for areas of noncompliance or control weakness.
• Manage operational efficiency of compliance testing programs, including setting measurable goals and tracking performance.
• Follow approved monitoring and testing procedures, ensuring consistency, accuracy, and documentation of results.
• Maintain deep knowledge of the investment and financial services industry, focusing on broker-dealer operations and banking-like features.
• Serve as a subject matter expert and liaison to regulatory agencies, internal audit, and risk partners, supporting regulatory exams and inquiries.

Requirements

• Minimum 5 years of compliance experience in financial services
• At least 2 years in broker-dealer or banking-like operations
• Proven experience in Regulation E, Regulation CC, NACHA rules, and FINRA oversight
• Strong analytical, writing, and stakeholder engagement skills
• Experience designing and executing compliance testing frameworks

Qualifications

• Minimum 5 years of compliance experience in financial services, with at least 2 years in broker-dealer or banking-like operations.

Nice to Have

• Active CRCM certification

Certifications