Compliance Testing and Monitoring Officer

Summary This role positions you as a critical line of defense in a major banking institution where your testing and analysis directly influences executive decision-making and shapes business practices across multiple departments. You'll gain unparalleled visibility through regular senior leadership presentations, develop sophisticated regulatory expertise across banking compliance domains, and build executive communication skills that accelerate career advancement into Compliance, Risk, or Internal Audit leadership roles. The combination of strategic impact, cross-functional exposure, investigative problem-solving, and the professional development infrastructure of a global banking platform like CACIB makes this the ideal next step for building a high-trajectory career in financial services compliance. Key Responsibilities General Strategic Testing Leadership: Orchestrate high-impact compliance reviews across diverse banking operations, serving as the architect of the Annual Compliance Testing Plan. You'll design and execute sophisticated testing strategies that safeguard organizational integrity while enabling business growth. Craft Compelling Compliance Narratives: Transform complex regulatory findings into crystal-clear documentation that tells the story. Your work papers won't just meet third-party standards-they'll set the benchmark for clarity, thoroughness, and professional excellence that auditors and regulators applaud. Detective Work That Drives Change: Uncover hidden risks and decode the "why" behind compliance gaps. You're not just identifying issues-you're the investigative force that traces problems to their source and architects innovative solutions that strengthen the entire organization. Command the Boardroom: Present your findings to the people who matter most: Department Heads, the Chief Compliance Officer, and the Executive Committee. Your insights shape strategy, influence policy, and drive decision-making at the highest organizational levels. Author Reports That Move Mountains: Draft executive-level reports that don't just inform-they inspire action. Your communications bridge the gap between technical compliance and business strategy, making complex regulatory matters accessible and actionable for senior leadership. Own the Accountability Engine: Be the driving force ensuring nothing falls through the cracks. Track issues from discovery to resolution, holding action owners accountable and maintaining the momentum that turns findings into fixed processes. Validate Victory: Close the loop with authority. Verify remediation effectiveness, document successful closures, and provide the validation memos that give leadership confidence in the organization's compliance posture. Salary Range: $145K-160K LI-DNI SPECIAL ROLE REQUIREMENTS At least 7 years' experience in the financial services industry with a focus on compliance 5 years of Audit or Compliance Testing experience required, with a focus on capital market Good knowledge of risks and controls, including analyzing risks, identifying and documenting controls, and assessing control design and operating effectiveness Strong knowledge of areas such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA, NFA, CFTC General knowledge of one or more of other banking products/services and regulations preferred: Banking regulations Business Conducts (Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.) Financial Crime (AML, Sanctions/OFAC) Other regulations (privacy, tax compliance, cybersecurity etc.) Ability to manage multiple projects using technology and analytic techniques (advanced in excel) to work effectively and efficiently in a fast-paced environment. Strong attention to details and analytical skills Ability to work with minimum supervisions and prioritize multiple tasks to focus on meeting the expected timelines Good communication skills to be able to present clearly and concisely to all levels of stakeholders