Senior Compliance Officer – Monitoring & Testing

. Assist with developing and executing the annual Compliance Testing and Monitoring plan .

Posted 4/24/2026full-timeNew York City • New York • 🇺🇸 United StatesSenior💰 $100,000 - $135,000 per yearWebsite

Key responsibilities & impact

Assist with developing and executing the annual Compliance Testing and Monitoring plan
Determine scope of reviews; build detailed review steps; organize documentary evidence of review
Execute testing engagements, and prepare reports to document exceptions and action plans
Communicate deficiencies to the business and key stakeholders, and exercise credible challenge
Oversee remediation of gaps identified in the testing process
Build relationships with key stakeholders globally
Develop Testing and Monitoring metrics, and contribute to department reporting
Support the development of a rules inventory that covers rules and regulations applicable to TDS businesses
Participate in special projects as they arise to enhance compliance functions

What you’ll need

Bachelors degree or progressive work experience
5-7 Years of related experience
Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations
Excellent interpersonal, organizational, leadership, and communication (oral and written) skills
Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues
Project management skills and ability to manage multiple work streams

Comp & perks

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance testingmonitoring plan developmentregulatory reportinganalytical skillsproject management

Soft Skills

interpersonal skillsorganizational skillsleadership skillscommunication skillsattention to detailjudgment

Certifications

Bachelor's degree