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Job

Associate Manager Risk and Compliance, QA

  • Location

    New York City Metropolitan Area

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $110 - $130K

  • Contact:

    Ryan Carter

  • Contact email:

    r.carter@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    11 days ago

  • Expiry date:

    2022-03-10

  • Startdate:

    ASAP

Hamlyn Williams have partnered with a top tier global bank to bring on an Associate Manager of Risk Compliance and Quality Assurance to assist in the design and execution of the quality assurance compliance testing plan for North America.  

 

In this role you will:

  • Assist in the design and execution of the quality assurance testing plan for the North America Branch as well as the US broker/dealer subsidiary, 
  • Plan and organize reviews and agree to compliance testing plans with relevant stakeholders. Ensure they are carried out effectively and within the timescales allocated, keeping management informed of their progress and findings
  • Create detailed and clear working papers to deliver elements of the compliance testing program, assuring relevant policies, procedures and regulatory requirements are adhered to.

 

In this role you will need:

  • 5-7 years’ experience with US regulated financial institution. Minimum 3 years’ experience in Compliance testing, Internal Audit or related field required
  • College degree required
  • AML compliance certification(s) and/or FINRA licenses are pluses

 

I am a market specialist in financial crimes and compliance working with a large network of clients in the financial services industry. If you are interested in this role or would like to explore other opportunities, feel free to reach out directly. Contact Ryan Carter at (646) 349-5998 or r.carter@hamlynwilliams.com.

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