AVP, Group Compliance Testing

With a company culture rooted in collaboration, expertise and innovation, we aim to promote progress and inspire our clients, employees, investors and communities to achieve their greatest potential. Our work is the catalyst that helps others achieve their goals. In short, We Enable Possibility℠.

Position Summary

Arch is seeking a proactive, hands-on, and results-driven individual to join our compliance team as Assistant Vice President, Group Compliance Testing. As part of Arch's Global Compliance Group, this role requires the ability to lead the planning and delivery of compliance testing and advisory program efforts. The AVP, Group Compliance Testing will investigate and assess controls, design and execute tests to ensure compliance with regulatory requirements and group policies, and provide actionable recommendations. This position will report to the Group Compliance Officer as part of the Global Compliance Function residing within the General Counsel’s office.

Key Responsibilities

• Develop and execute on the Global Compliance monitoring and testing program designed to evaluate the effectiveness of key compliance controls through routine and/or ad hoc monitoring and testing to ensure compliance with regulatory requirements, policies and procedures.
• Develop and execute test plans and test scripts related to significant compliance risk categories including but not limited to, privacy, economic sanctions, antitrust, anti-corruption and records management.
• Support the compliance testing initiatives at the business units and coordinate with Group efforts.
• Review and complete documentation of scoping, risk and control identification, control evaluation and observations in testing and monitoring.
• Analyze and identify trends across the organization and develop regular reporting of risk and control gaps.
• Participate and contribute to the compliance risk assessment process by identifying relevant compliance risks and control gaps.

Required Skills and Experiences

• 8+ years of compliance testing or internal audit experience in a public financial services organization with global operations
• Excellent understanding of compliance monitoring and testing function
• Experience leading/managing compliance testing or audits with strong project management skills
• Excellent grasp of risk and control concepts
• Strong analytical and problem-solving skills
• Strong writing skills and ability to organize and synthesize information into written product