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.

Responsibilities: 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

Qualifications: 5+ years of compliance testing, monitoring, internal audit, regulatory examination, or related compliance experience Experience within 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 Preferred BackgroundCompliance 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.