Manager of Compliance Testing and Assurance
Manages risk-based compliance testing and assurance activities across global financial-services entities, including planning, fieldwork, reporting, issue remediation, and regulatory monitoring. Requires at least five years of compliance testing, monitoring, assurance, or audit experience and a bachelor’s degree.
About the job
Responsibilities
- Own end-to-end execution of assigned compliance testing and assurance activities, from planning and fieldwork through reporting and issue remediation.
- Build and enhance enterprise-wide compliance testing and assurance methodologies, governance documents, and testing frameworks.
- Develop the risk-based annual compliance testing and assurance plan with Compliance teams across International, Institutional, Product, Tools, and AML/CFT functions.
- Report on plan progress, testing results, root-cause analyses, and remediation status to senior compliance leadership.
- Track issues and validate remediation, ensuring corrective actions are implemented and documentation is maintained centrally.
- Monitor regulatory developments and industry trends to identify emerging risks affecting products and the compliance testing and assurance program.
Requirements
- 5+ years of experience executing compliance testing, monitoring, assurance, or audit programs within financial services.
- Hands-on experience developing testing plans and risk-based methodologies.
- Experience identifying uncontrolled risks and control gaps across a global regulatory landscape, including AML/CFT, sanctions, consumer protection, and trade surveillance.
- Track record of delivering testing outcomes on schedule and to quality standards, including executive-ready reports, metrics, and remediation tracking.
- Experience with data extraction and analysis tools such as SQL, Tableau, and Snowflake.
- Proficiency with presentation and spreadsheet tools such as Google Slides and Google Sheets.
- BA/BS degree in business, finance, or a related field.
- Responsible use of generative AI with human oversight to produce business-ready outputs and improve workflow efficiency, cost, and quality.
Compensation and Benefits
- Annual base salary: €124,128–€124,128 EUR.
- Total compensation may also include equity, bonus eligibility, and medical, dental, and vision benefits.
Skills
Compliance Testing, Risk-Based Methodologies, Aml/Cft, Sanctions, Consumer Protection, Trade Surveillance, SQL, Tableau, Snowflake, Google Slides, Google Sheets, Generative AI
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