AFC Testing Lead - AVP

Investment bank located in Jacksonville, Florida looking to bring on board a “AFC Testing Lead - AVP” to join their team. They are currently in a hybrid capacity, requiring 2 days a week in the office.

Responsibilities:

• Conduct AFC Testing under the direction of the Americas Head of Compliance and AFC Testing & QA, Americas Deputy Head of AFC Testing and QA and Regional AFC Testing Lead to assess and review compliance with legal, regulatory, and internal firm policy requirements applicable to products and services in the Americas

• Lead tests, reviews and adherence checks across all business activities and controls to evaluate adherence to regulatory requirements and whether or not a risk management framework is in place and is effectively managing AFC risks

• Create design effectiveness and operating effectiveness test steps to assess whether or not AFC risk management frameworks are effectively managing risk and are in compliance with laws and regulations

• Develop testing modules and conduct testing across all business activities to evaluate adherence to regulatory requirements and compliance risks

• Ensure the review work plan addresses: 1) compliance risks and regulatory priorities and 2) the reviews are designed to meet applicable regulatory guidance

• Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations