Director – Testing Team Lead - Compliance

Director – Testing Team Lead – Compliance

Bachelors degree or progressive work experience
7-10 years related experience
Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations
Excellent interpersonal, organizational, leadership and communication (oral and written) skills
Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues
Advanced project management skills and ability to manage and direct multiple work streams involving different partners and groups
Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time
Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size
Proficient in Word, Excel and PowerPoint

Assist in the development, design, and execution of the annual Compliance Test Plan
Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing Leads to ensure timely completion of testing engagements in support of the annual Compliance Test Plan
Manage team of 3-4 testers
Lead the design and execution of testing engagements
Review all workpapers and manage testing progress for each test executed by you and your team
Recruit and develop talented testing professionals to support the program
Liaise and build a strong relationship with key stakeholders across the Firm
Engage and drive discussion with stakeholders to exercise credible challenge
Communicate and agree to the acceptance of issues and assist in the development of the appropriate action plans
Oversee remediation of issues identified in the Testing or Monitoring activities
Work closely with the Key Stakeholders to ensure timely closure of issues identified during testing
Identify areas for enhanced Monitoring and Testing
Work with our Data team to ensure we have the appropriate metrics and reporting for testing activities throughout our testing cycle
Participate in special projects as they arise to enhance Compliance functions