Senior Compliance Officer - Monitoring & Testing

Senior Compliance Officer, Monitoring & TestingLocation: New York, NY Compensation: $90,000 - $125,000 Base SalaryA 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. ResponsibilitiesExecute compliance monitoring and testing reviews across multiple business areasAssist in developing annual compliance testing and monitoring plansDefine review scope, develop testing procedures, and assess control effectivenessIdentify regulatory and compliance risks, document findings, and recommend corrective actionsCommunicate findings and recommendations to key stakeholdersTrack remediation efforts and support issue management processesPrepare reports, metrics, and presentations related to testing activities and compliance trendsSupport regulatory change initiatives and broader compliance program enhancementsPartner closely with compliance, risk, legal, audit, operations, and business teamsParticipate in special projects designed to strengthen the compliance framework Qualifications5+ years of compliance testing, monitoring, internal audit, regulatory examination, or related compliance experienceExperience within a broker-dealer, investment bank, capital markets firm, regulator, or similar financial services environmentKnowledge of securities regulations, regulatory reporting, operations, controls, and risk management practicesExposure to sales & trading, capital markets, investment banking, or wholesale banking activities preferredStrong analytical, investigative, and problem-solving abilitiesExcellent written and verbal communication skillsProven ability to manage multiple priorities in a fast-paced environmentBachelor's degree required; JD or other advanced degree is a plus Preferred BackgroundCompliance Monitoring & TestingBroker-Dealer ComplianceCapital Markets ComplianceInvestment Banking ComplianceRegulatory ExaminationsInternal AuditControls TestingRegulatory Risk & ControlsFINRA 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.