COMPLIANCE TESTING MANAGER

Area:

CORPORATE & INVESTMENT BANKING...

Deadline for applying:

8/21/2024

Company:

Z01

Grade:

00

Grade range:

Incentive Eligible:

What does the job entail?

Compliance Testing - Manager

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.

Additional Minimum and Preferred Qualifications

Benefits Statement

Benefits: A variety of health and welfare and other benefit programs are available, including medical, dental, vision, Wellness Program, Personal Savings Plan (401K), Health Savings Account, Flexible Spending Account, accident benefits, critical illness, hospital indemnity, life insurance, disability benefits, paid vacation & holidays, paid leave programs, tuition assistance programs, pet insurance and more.

Legal requirements
With respect to this position in our New York Office, the expected base salary ranges from $0.00 - 0.00. 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.

Pay Transparency Policy Statement

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information (41 C.F.R. 60-1.35 (c)).

Individuals with Disabilities

BBVA USA, BBVA Securities Inc., and BBVA S.A. New York Branch invite all interested and qualified applicants to apply for employment opportunities. If you are a U.S.-based job seeker with a disability who is unable to use our online tools to search and apply for jobs, please contact us by emailing: [email protected] or by calling toll-free (in the U.S.) 1-844-664-9275. Please indicate the specific type of assistance needed*.
? The disability access telephone line and email address are reserved solely for job seekers with disabilities requesting accessibility assistance or an accommodation. Please do not call about the status of your job application if you do not require accessibility assistance or an accommodation. Messages left for other purposes, such as following up on an application or non-disability related or technical issues, will not receive a response.

EEO Statement

BBVA USA, BBVA Securities Inc., and BBVA S.A. New York Branch have a firm and unwavering policy to provide equal employment opportunity without regard to age, citizenship, color, disability, ethnic origin, gender, gender identity and expression, marital status, nationality, national origin, race, religion, sexual orientation, genetic predisposition, protected veteran status, or any other status or classification protected by federal, state or local law. This policy includes all job groups, classifications and organizational units. With regard to employment, this policy extends to applicants and covers our recruiting, hiring, promotion, transfer, demotion, discipline, termination, benefits, compensation and training practices as well as social and recreational activities.

View the 'EEO is the Law' & 'View the EEO is the Law Supplement Poster' poster. BBVA USA, BBVA Securities, Inc., and BBVA NY are equal opportunity and affirmative action employer.

Working at BBVA

BBVA is a global company with over 160 years of history present in 25 countries with over 81 million customers. We are more than 110,000 professionals working in multidisciplinary and diverse teams.

At BBVA, we are ahead of the transformation that is taking place in the banking sector, challenging the status quo, to make life easier to our customers.

Being part of BBVA means developing your career in one of the most innovative companies in finance.

Responsible banking

We're committed to responsible banking to help drive a more inclusive and sustainable society. The future of banking lies in financing the future.

We started out with the spirit of helping others make the best financial decisions. That spirit remains with us today and encourages us to keep moving forward, prioritizing innovation and digital transformation so that we can put the opportunities of this new era within everyone's reach.

Diversity

At BBVA we believe having a diverse team makes us a better bank.

For this reason, we actively support diversity, inclusion and equal opportunities regardless race, sex, age, religion, sexual orientation, gender identity or expression. We cultivate a collaborative and inclusive work environment that allows every employee to do their best work.

Our values

Our values define our identity; they are what drives us to make our goals a reality and they guide all of our actions and the decisions we make.

Customer comes first

We think big

We are one team

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