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Vice President - Internal Quality Assurance
About the Company
Internationally recognized investment services firm
Industry
Financial Services
Type
Public Company
Founded
1784
Employees
10,001+
Categories
Specialties
Business Classifications
About the Role
The Company is seeking a Vice President for Internal Quality Assurance in the Compliance and Surveillance function. The successful candidate will be responsible for ensuring that the activities of core compliance functions are in line with the market abuse strategy and are sustainable. This includes reviewing and validating documentary evidence standards, contributing to the development of projects to enhance compliance, and engaging with various business units to manage validation activities. The role also involves active stakeholder management, particularly in the case of rejected validation activities, and representing core compliance in validation activities. Applicants should have a minimum of 5-7 years of industry experience, with at least 3 years in a compliance, audit, or quality assurance role, preferably with a background in capital or global markets. A strong knowledge of the financial services regulatory environment is essential. The role requires excellent communication skills, advanced MS Office proficiency, and the ability to work effectively in a fast-paced environment. The ideal candidate will have a focused attitude, be detail-oriented, and have the ability to meet deadlines with a high level of accuracy. Good interpersonal and negotiation skills are also necessary for this position.
Hiring Manager Title
Head of Surveillance Quality Assurance Lead
Travel Percent
Less than 10%
Functions