An exciting opportunity has arisen for a dedicated and experienced professional to join a leading global financial institution as an Anti Financial Crime (AFC) Testing Lead - Assistant Vice President. This role offers the chance to work in a diverse and inclusive environment that values innovation, collaboration, and change.
What You'll Do
As an Anti Financial Crime (AFC) Testing Lead - Assistant Vice President, you will play a pivotal role in conducting comprehensive Compliance Testing reviews of the firm's institutional Fixed Income and Currencies Sales and Trading businesses. You will be responsible for developing testing modules across all business activities to ensure adherence to regulatory requirements. Your ability to maintain strong relationships with various departments such as Business Line Compliance, Front Office, Operations, Group Audit, among others will be crucial in this role. Furthermore, your involvement in developing a review work plan based on annual compliance risk assessments will be instrumental in ensuring that all compliance risks, key controls and regulatory priorities are addressed.
Conduct Compliance Testing reviews of the Firm’s Institutional Fixed Income and Currencies Sales and Trading businesses
Develop testing modules across all business activities to evaluate adherence to regulatory requirements
Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region
Participate in developing a review work plan based on the results of the annual compliance risk assessment
Manage Compliance Testing reviews by coordinating with colleagues and establishing working relationships with key stakeholders
Ensure the review work plan addresses compliance risks, key controls and regulatory priorities
What You Bring
The ideal candidate for the Anti Financial Crime (AFC) Testing Lead - Assistant Vice President position brings extensive experience from a financial services firm or self-regulatory organization in a Compliance, Legal or Audit role. You will have moderate experience with Compliance Testing or Audit and possess a deep understanding of Fixed Income and Currencies products and relevant regulations. Your strong analytical and investigative skills will be matched by your problem-solving abilities. Excellent interpersonal and communication skills are essential for this role, as you will be interacting with various internal and external stakeholders.
Possess a BA or BS Degree; JD, MBA or master’s degree is advantageous
Extensive relevant experience with a financial services firm or self-regulatory organization in a Compliance, Legal or Audit role
Moderate relevant experience with Compliance Testing or Audit
Knowledge of Fixed Income and Currencies products and relevant regulations is essential
Strong analytical and investigative skills coupled with problem-solving abilities
Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders
What Sets This Company Apart
Our client is a leading global financial institution that values diversity, innovation, and collaboration.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Finance and Sales
Industries
Staffing and Recruiting
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