Wealth Management - Compliance Tester, Director, Oversight, Monitoring and Testing

Mumbaionsitedirector

Posted today · via Workday

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About this role

We're seeking someone to join our team as an Director in the Legal and Compliance division. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Director level position within the Oversight, Monitoring and Testing for The Compliance Testing team, this team is responsible for executing risk-based compliance reviews across Wealth Management businesses, including E*TRADE. This role ensures adherence to regulatory requirements and internal policies through comprehensive testing and reporting.…

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reqspace match rubric

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Skills match

For this role: monday, teams

Level fit

This role is director-level. We check your trajectory against it.

Domain experience

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Recency

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Location fit

This role is based in Mumbai. We weight your proximity and willingness to relocate.

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Skills in this role

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