Assistant Vice President, Compliance Quality Assurance
About The Position
The Assistant Vice President (AVP), Compliance Quality Assurance supports the execution of independent quality assurance reviews and compliance testing activities designed to assess the effectiveness of regulatory compliance, risk management practices, and internal controls across the organization. The role contributes to the delivery of the annual QA plan through risk-based reviews, assessment of control design and operating effectiveness, identification of control gaps, and development of practical recommendations that support a strong and sustainable control environment. The AVP partners with Compliance, Operational Risk, Legal, Operations, Human Resources, Finance, and business stakeholders to provide credible challenge, strengthen documentation, validate remediation, and promote consistent adherence to applicable laws, regulations, internal policies, and governance standards. The role also includes responsible use of approved technology, data analytics, automation, and artificial intelligence tools to enhance testing efficiency, documentation quality, insight generation, and continuous monitoring, while maintaining appropriate data protection, confidentiality, and governance standards.
Requirements
- CAMS, CRCM
Responsibilities
- Execute risk-based Compliance Quality Assurance reviews in accordance with the approved annual QA plan.
- Evaluate the design and operating effectiveness of controls supporting regulatory, compliance, and operational risk requirements.
- Develop testing strategies, test scripts, sampling methodologies, and workpapers that are sufficient to support review conclusions.
- Assess compliance with applicable laws, regulations, regulatory guidance, internal policies, procedures, and standards.
- Identify control deficiencies, root causes, and emerging risk themes, and draft clear findings and remediations for management.
- Prepare concise, well-supported reports and summaries for stakeholders, senior management, and governance forums.
- Track management action plans and perform validation of remediation activities, including review of evidence and sustainability of corrective actions.
- Provide independent challenge on the effectiveness of risk management practices, governance, oversight, monitoring, and reporting processes.
- Support issue validation activities and operating effectiveness assessments for remediated controls.
- Identify recurring themes across reviews and escalate significant control concerns through appropriate channels.
- Contribute to continuous improvement of QA methodology, testing standards, documentation practices, and reporting templates.
- Maintain audit-ready workpapers that clearly support conclusions, ratings, findings, and management action plans.
- Use data analytics to identify trends, anomalies, outliers, and potential compliance or operational risk indicators.
- Support development of dashboards, metrics, and management reporting that enable risk-based prioritization and decision-making.
- Leverage approved reporting and visualization tools to improve insight, transparency, and stakeholder communication.
- Assist in building continuous monitoring approaches that support earlier identification of control weaknesses and emerging risks.
- Demonstrate AI literacy and practical understanding of emerging AI technologies, including generative AI, machine learning, data quality, explainability, bias, and responsible AI principles.
- Use approved AI-enabled tools responsibly to improve productivity, research, documentation quality, testing efficiency, reporting, and workflow management.
- Critically evaluate AI-generated outputs for accuracy, completeness, relevance, bias, and appropriateness before relying on them in QA deliverables.
- Identify opportunities to automate or streamline manual QA activities through approved AI-assisted analytics, workflow tools, and process improvements.
- Remain current on regulatory, industry, and internal expectations relating to AI governance, responsible AI usage, and technology-driven risk management.
- Build effective relationships with Compliance, Operational Risk, Legal, Audit, Operations, HR, Finance, and business stakeholders.
- Facilitate constructive discussions regarding findings, recommendations, root causes, and remediation plans.
- Provide credible challenge in a collaborative, solutions-oriented, and non-accusatory manner.
- Support regulatory examinations, internal audits, external reviews, and management reporting requests as required.
Benefits
- Comprehensive health coverage with multiple medical plan options, including an HSA-eligible plan with company contributions, plus dental, vision, and 24/7 virtual care
- Strong financial benefits including a 401(k) with company match and discretionary contribution, company-paid life insurance, and short- and long-term disability coverage
- Family and life support such as paid family leave, backup child and elder care, employee assistance programs, and identity theft protection
- Wellness and lifestyle benefits including fitness programs, gym reimbursement options, pet insurance, and group legal services
- Ongoing training, development, mentoring, and networking opportunities
- Opportunities to give back through volunteering and fundraising initiatives
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
