Madison-Davis, LLC ยท 3 weeks ago
VP, Compliance Monitoring & Testing
NYC Metro Area
Full-time
Hybrid
Senior Level
$145K/yr - $180K/yrMadison-Davis, LLC is an investment bank located in Midtown Manhattan seeking a VP, Compliance Monitoring & Testing to join their team. This role involves developing and executing compliance testing plans, building relationships with stakeholders, and overseeing remediation of identified gaps.
Human ResourcesInformation TechnologyStaffing Agency
Responsibilities
Develop and design annual and cycle-based Compliance Testing and Monitoring plans
Execute the annual Compliance Testing plan
Determine test scopes, and design and develop effective test strategies and approaches
Prepare cohesive workpapers, and review peer workpapers, in accordance with firm standards
Build relationships with stakeholders globally, and act as key point of contact for test deliverables, scope and findings
Communicate deficiencies of test findings in advance of report issuance, and exercise credible challenge
Prepare reports for management that highlights the scope, testing approach, and the overall results and findings of reviews
Oversee remediation of gaps identified in the Testing or Monitoring activities
Identify areas for enhanced Monitoring, Testing or training
Design and develop Testing and Monitoring metrics, and contribute to department reporting
Support issues management development and tracking of Compliance-identified findings
Support the development of a rules inventory that covers rules and regulations applicable to businesses
Work closely with other support functions and the business areas to support a culture of compliance across the firm
Participate in special projects as they arise to enhance Compliance functions
Qualification
Required
Experience in Compliance Testing and Monitoring
Ability to develop and design Compliance Testing and Monitoring plans
Experience executing Compliance Testing plans
Skills in determining test scopes and designing effective test strategies
Ability to prepare cohesive workpapers and review peer workpapers
Strong relationship-building skills with global stakeholders
Ability to communicate deficiencies of test findings effectively
Experience preparing reports for management
Skills in overseeing remediation of gaps identified in Testing or Monitoring activities
Ability to identify areas for enhanced Monitoring, Testing or training
Experience in designing and developing Testing and Monitoring metrics
Ability to support issues management development and tracking of Compliance-identified findings
Experience in developing a rules inventory for applicable rules and regulations
Ability to work closely with other support functions and business areas to promote compliance culture
Willingness to participate in special projects to enhance Compliance functions
Company
Madison-Davis, LLC
Madison-Davis is a staffing and recruiting company offering financial services.
Founded in 1982
51-200 employees
H1B Sponsorship
Madison-Davis, LLC has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (22)
2024 (15)
2023 (8)
2022 (3)
2021 (1)
Funding
Current Stage
Growth StageLeadership Team
I
Ian Stewart
Founder and Advisor
Company data provided by crunchbase