Compliance Testing - Manager

Compliance Testing - Manager

BBVA

Job Summary

Within the US Compliance unit of a large global foreign bank branch, the individual will assist the Head of the Compliance Testing Unit in the US, which is part of the global Compliance Testing team within BBVA. For this purpose, he or she will assist in conducting the global Compliance Testing program for the US Bank Branch, Broker/Dealer and Global Swap Dealer according to corporate guidelines and methodology, help preparing the annual plan, performing reviews and assisting with other Compliance processes such as risk assessments, issue management or reporting, among others.

For all the above, he or she will assist in maintaining strong coordination with the corporate team in Madrid.

Essential Duties and Responsibilities:

• Assist the Head of US Compliance Testing in conducting a Compliance risk analysis at least twice a year to identify potential topics to review.
• Assist the Head of US Compliance Testing in working with both the US Head of Compliance and his team and the Corporate Compliance Testing unit in Madrid to develop the annual Compliance Testing review plan and submit the plan to appropriate levels of Management for

approval.

• Conduct Compliance Testing reviews in accordance with the plan and the approved testing

methodology.

• Ability to identify and test compliance related controls, identify testing related issues, and meet with the requisite business owners to discuss the testing review with little or no supervision.
• Provide timely information on his or her activities to the US Head of Compliance Testing.
• He or she will be accountable for the reviews performed. In addition, this individual will assist

the US Head of Compliance Testing with any reports to be submitted to the Global compliance - testing committee.

• Assist and at times follow up on action plans resulting from Compliance Testing reviews, tracking committed deadlines and raising and escalating any delays.
• Help to identify opportunities and propose continuous improvement ideas for the Compliance

Testing function.

• Assist the US Head of Compliance testing in achieving the objectives of the function.
• Assist in responding to both internal and external requests and enquiries in coordination with

the hierarchy and other team members of US or Corporate Compliance function. This includes

requests or inquiries from regulatory authorities.

Requisites for the position:

• Bachelor’s degree in an applicable major field of study required or equivalent relevant

experience.

• At least 5 – 7 years in compliance testing and/or audit roles in the financial industry, with at

least 3 years in a more senior level lead role on a compliance testing team at a peer financial

institution.

• Knowledge of AML and market integrity regulations (SEC, FINRA, CFTC, NFA, etc.), as well as US Consumer and Prudential regulations.
• Experienced in the preparation of reports to Senior Management, as well as to regulators and

supervisors.

• Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration), CRCM, ACAMS preferred.
• Experience in coordinating with multi-disciplinary and multi-geographic teams.
• Strong analysis and synthesis capacities.
• Strong oral and written communication skills.
• Goal-oriented.
• Self-organization skills in a dynamic environment.
• Ability to be a self-starter and work with limited supervision.
• Spanish is a plus.

With respect to this position in our New York Office, the expected base salary ranges from $100,000 -$123,000. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.

Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

NOTE: THIS POSTING IS FOR INDICATION OF INTEREST ONLY. PLEASE VISIT THE BBVA CAREERS PAGE FOR MOST UP TO DATE POSTINGS.