Leading investment banking and securities firm seeks a AVP for the Regulatory / Operational Risk and compliance preferably with a Wealth Management exposure and able to interact with senior management across both Operations and Business Unit.  The desired candidate will be able to demonstrate a strong knowledge of SSAE 16 process and understanding of the Wealth Management businesses. Additionally the individual will understand, investigate, and escalate deficiencies in process implementation/oversight, update stakeholders on current work drivers, achievements, significant issues and risks and work with peers to improve operational processes and validate controls/procedures.

A minimum of 1-2  years of related experience with a knowledge of SSAE 16 auditing requirements and experience assisting in co-ordinating/project managing SSAE16(SAS 70) audits. Familiarity with Wealth Management Operations, specifically Custody Operations and able to adapt to new processes and have proficiency in assisting in the design and management of control functions in Financial Services/Banking industry. Strong functional knowledge of operations and trade life cycle is necessary along with technical skills in various Microsoft Office Tools (particularly Access, Excel, Visio, Project and PowerPoint. Prior experience with regulatory and governance programs a plus.

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