Compliance III - Core Compliance Testing & Monitoring (Hybrid St. Louis or New York)
This position is responsible for analyzing and verifying test results from various key compliance departments and across various entities of the business. Additionally, will work closely with the Director of CCTM help determine testing plan topics and report generation for upper management.
Essential Duties and Responsibilities:
- Ensure across the enterprise that testing and monitoring is being conducted to verify compliance with securities laws and regulation, and create gap analysis to help create better testing plans for various compliance departments.
- Gather, validate and analyze data, documents and information relative to a determined testing plan and current policies and procedures.
- Strong organization skills with the ability to handle multiple ongoing items.
- Follow-up with Controls Owners to ensure any gaps are being addressed.
- Analysis of new rule filings, regulatory updates, and Enforcement Actions to determine relevance and needed testing.
- Ability to lead meetings and communicate effectively with all levels of the organization.
- Minimum Required: Bachelor's Degree in related field or equivalent experience.
- Intermediate knowledge of FINRA, NYSE, MSRB, FRB and SEC Rules.
- Some knowledge of Foreign Regulations.
- Audit experience in any of the following Financial Industry Groups a plus Broker Dealer, Advisory, Mortgage Banks and Consumer Banks.
- 3+ years' Compliance experience.
As a Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Financial Services and Wealth Management Institutions across the West Coast. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:
Kate Barnes, email@example.com (619)-350-6283