Senior Compliance Officer - Monitoring & Testing

Senior Compliance Officer, Monitoring & Testing

Location: New York, NY

A leading financial services organization is seeking a Senior Compliance Officer, Monitoring & Testing to join its Compliance function. This individual will play a key role in executing compliance reviews, assessing regulatory risk, identifying control gaps, and supporting compliance initiatives across capital markets and securities-related businesses.

• Execute compliance monitoring and testing reviews across multiple business areas
• Assist in developing annual compliance testing and monitoring plans
• Define review scope, develop testing procedures, and assess control effectiveness
• Identify regulatory and compliance risks, document findings, and recommend corrective actions
• Communicate findings and recommendations to key stakeholders
• Track remediation efforts and support issue management processes
• Prepare reports, metrics, and presentations related to testing activities and compliance trends
• Support regulatory change initiatives and broader compliance program enhancements
• Partner closely with compliance, risk, legal, audit, operations, and business teams
• Participate in special projects designed to strengthen the compliance framework

• 5+ years of compliance testing, monitoring, internal audit, regulatory examination, or related compliance experience
• Experience with in a broker-dealer, investment bank, capital markets firm, regulator, or similar financial services environment
• Knowledge of securities regulations, regulatory reporting, operations, controls, and risk management practices
• Exposure to sales & trading, capital markets, investment banking, or wholesale banking activities preferred
• Strong analytical, investigative, and problem-solving abilities
• Excellent written and verbal communication skills
• Proven ability to manage multiple priorities in a fast-paced environment
• Bachelor's degree required; JD or other advanced degree is a plus

• Compliance Monitoring & Testing
• Capital Markets Compliance
• Investment Banking Compliance
• Regulatory Examinations
• Internal Audit
• Controls Testing
• Regulatory Risk & Controls
• FINRA or SEC-related experience

This opportunity is ideal for professionals looking to leverage their compliance testing, audit, or regulatory experience within a dynamic capital markets environment while gaining exposure to complex regulatory matters and enterprise-wide compliance initiatives.