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Vice President, Compliance Monitoring and Testing (Financial Services)

Atlanta, GA · Accounting/Finance
Compliance Monitoring and Testing, Vice President:
A Vice President (“VP”) level role has become available within the company's Compliance Monitoring and Testing (“CMT”) team based in Atlanta. The role will report into the Americas Head of CMT and will entail on the ground leadership of a team of Compliance Monitoring professionals and responsibility for the direct delivery of reviews.
The CMT team is a dynamic, high profile, high performing global team which identifies and assesses regulatory and conduct risk across the company and delivers an annual program of Compliance Monitoring reviews and risk assessments. The team has members across EMEA, AMRS and APAC who work closely together on a day to day basis.
The team’s key activity is delivering its annual Compliance Monitoring program by undertaking in-depth reviews focused on different business units, country offices or regulatory themes as well as delivering an ongoing program of control testing. CMT VPs are responsible for leading and delivering global and regional reviews, supported by a team of Associates and/or Analysts. They are required to lead the full review from the initial scoping and fieldwork phases through to the delivery of the final report. VPs typically engage closely with key business and L&C stakeholders of all levels across the business to develop a detailed understanding of how each business operates and to challenge and influence their management of regulatory risk. 
As well as conducting reviews, the successful candidate will have a key role in leading and delivering projects that enhance the team’s operating effectiveness and delivery.
  • It is expected that the successful candidate will have previously held relevant roles within a Compliance function at an asset manager or investment bank; or at a leading consultancy firm or regulator.
  • The candidate will have a strong knowledge of regulatory rules and the US regulatory architecture, and ideally some experience working with other global regulations.
  • The candidate will have relevant, hands-on experience conducting deep dive regulatory compliance reviews or compliance testing. Candidates with internal audit experience will also be considered.
  • The candidate should be confident and articulate and able to engage with the business on regulatory topics effectively.
  • Knowledge of other key Compliance and risk management topics would be beneficial, for example risk assessment methodologies and developing management information.
The successful candidate will be given the opportunity to:
  • Take a leading role on the exciting build out of the Global team in a new location – growing the team and bringing their own insights and ideas to enhance the existing arrangements;
  • Hold a high-profile leadership role within the CMT team, including responsibility for the delivery of key elements of the team’s work and the performance of individuals within the team;
  • Build an understanding and awareness of the company's business and its operational and regulatory control environment;
  • Build relationships with senior business stakeholders across the EMEA region and globally; and
  • Develop their career within a formal structure of career progression.
The CMT team is part of the wider Regulatory Risk and Review team which in turn sits within the Compliance function. 
Key Responsibilities:
  • Providing leadership and management of performance for a number of Compliance professionals within the CMT team;
  • Supporting the Americas Head of CMT in implementing and developing the team in Atlanta;
  • Delivering the scoping, execution and reporting of thematic monitoring reviews;
  • Building strong working relationships with key business and Legal &Compliance (L&C) stakeholders both outside the framework of specific reviews and across the lifecycle of reviews;
  • Presenting findings and recommendations to senior management within Legal and Compliance as well as key business stakeholders; and
  • Leading and delivering strategic team projects.
Knowledge/Experience and Education
  • The expectation is that the candidate will have previously held relevant senior roles within a Compliance function, a leading consultancy firm or a regulator. The candidate will ideally have relevant, hands-on experience leading deep dive regulatory compliance reviews as well as an understanding of regulatory rules and risk and assessment methodologies.
  • The role requires the successful candidate to have strong written and verbal communication skills and confidence engaging with and managing ongoing relationships with a broad range of stakeholders within Compliance and across the business.  The candidate will have a strong personality, combining energy, enthusiasm, resilience, tenacity and diplomacy.  
  • Proven track record of leading deep dive regulatory or compliance reviews at a regulated firm, a regulator or leading consulting firm. Candidates with internal audit experience will also be considered;
  • Up-to-date understanding of UK and European regulatory requirements and focus areas;
  • Understanding of the asset management sector, preferably with previous experience working with or for an asset manager;
  • Excellent verbal and written communication skills with a track record of drafting high impact and high-quality reports;
  • Experience leading high performing teams;
  • Project management skills and experience delivering projects in a complex organization;
  • Ability and enthusiasm to work as part of a high performing, ambitious team in a fast paced, dynamic environment; and
  • A proven track record in producing high quality deliverables under competing priorities and adherence to deadlines is essential.
Legal & Compliance Overview:
The department is focused on both understanding and advising on the impact of regulation to our business and on challenging, overseeing and monitoring business activities with the objective of:
  • Actively participating in business decisions to champion our clients’ interests and assist the business in translating compliance requirements and expectations into their daily work;
  • Putting client interests at the center of everything we do;
  • Ensuring adherence to applicable laws and regulations;
  • Cultivating and enhancing the strong compliance culture within the company;
  • Providing thought leadership on the impact and implementation of regulatory change;
  • Fostering excellence within the Compliance team; and
  • Actively developing the skills, knowledge and careers of each member of the Compliance team
Kat Forester
ProEnlist, LLC

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