Compliance Testing - Investment Management

Our client, a financial services firm, is currently looking to expand their Compliance Testing function with a Compliance Senior Associate who will primarily responsible for testing coverage for the RIA piece the business, as well as being assisting when needed with their Broker Dealer.

In this role, you will be expected to assist with the ongoing monitoring & testing metrics, as well be develop the annual M&T plan for the organization. You will also be responsible for liaising with the business for new training initiatives, as well as ad hoc implementation projects to enhance their regulatory functions and support the business areas to create a strong compliance culture across the firm 

Qualifications

• Bachelors required. JD and/or MBA preferred, with at least 5+ years of relevant experience
• Big 4 auditors are encourage to apply
• Experience in writing scripts and issues review summaries is highly desired
• Exposure to SEC/FINRA/FDIC rules and regulations
• Understanding of internal controls frameworks.