Vice President, Compliance Monitoring & Testing-SMBC Nikko Securities
Smbc•Jersey City, NJ
388d•$144,000 - $180,000•Remote
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About The Position
The Vice President of Compliance Monitoring & Testing at SMBC Nikko Securities is responsible for leading the compliance monitoring and testing program for the broker/dealer. This role involves managing a small team of compliance professionals, ensuring the efficacy of regulatory compliance internal controls, and staying updated on regulatory requirements. The Vice President will oversee compliance engagements, develop testing scripts, and prepare reports for management, all while fostering a culture of diversity and inclusion within the team.
