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Senior Compliance Monitoring and Testing Manager

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Bennett Congdon

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    19 days ago

  • Expiry date:


  • Startdate:


A leading fintech that we have partnered with is looking for an experienced compliance testing and monitoring professional with several years of management experience. As a part of their compliance team you will help to create a central global function focused on developing a best in class compliance systems, and be responsible for compliance risk management. This is a second line of defense role with its focus on the development and execution of risk-based monitoriong and testing programs our partner's complaince with applicable laws, regulations, policies and procedures.


What you'll work on:

  • Lead the design and implementation of a risk-based regulatory compliance monitoring & testing framework to provide independent, risk-based monitoring and testing of our clients Compliance programs.
  • Produce the annual Monitoring and Testing plan, ensuring coverage for existing and new regulations, alterations to existing regualtions and any audit or exam finding.
  • Ensuring second line monitoring reviews are delivered on time and to an appropriate standard of quality
  • Identify, assess, effectively challenge and oversee the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.
  • Partner with program owners, subject matter experts and all relevant stakeholders to understand requirements (e.g. laws, regulations, guidelines, policies) of compliance, enterprise programs and products.
  • Evaluate design and operating effectiveness of controls, assess identified findings, determine root causes, propose risk ratings in accordance with internal guidelines and standards, and draft recommendations and reports.
  • Document test results, and reporting metrics in GRC Tool and/or central repository.


Qualifications and Skills:

  • 10+ years relevant experience in compliance, internal audit or related discipline.
  • 3+ years leading and managing a team of direct reports.
  • Detailed knowledge of compliance standards as they relate to OFAC, AML, KYC, Card Brand, money transmission, payments and e-money.
  • Prior hands-on experience in a monitoring and testing role within Compliance Testing or Internal Audit, preferably in a BSA/AML/OFAC capacity.
  • Compliance experience in either banking, consulting, or cryptocurrency required. Experience in RegTech or Fintech preferred.
  • Strong communication, planning and project management skills.
  • Establishes trust and collaboration with cross-functional stakeholders and team members.
  • Strong attention to detail.
  • Excellent ability to investigate, analyze, and interpret data as well as state and federal regulations.
  • Demonstrated understanding of and passion for harnessing the power of digital currency and blockchain technology and services built on top of it.
  • Experience working hands-on with other cross-functional team leaders, such as lawyers, engineers, product managers, data analysts, operations analysts in improving compliance processes and systems.
  • Experience and comfort working in an ever-changing industry and the flexibility to quickly react to changing demands.
  • Experience/familiarity with Slack, Apple MacOS and GSuite.

For more information, please get in touch with Bennett Congdon at