Our client, a global investment firm, is looking to hire a Senior Compliance Analyst/Assistant Vice-President to join their team. The Senior Compliance Analyst/Assistant Vice-President will assist in creating and conducting regulatory compliance tests/audits to ensure compliance with various investment adviser, investment company and broker-dealer regulatory requirements, both US and global.
- Performing compliance testing procedures, including identifying and defining regulatory issues, developing testing criteria, conducting testing, reviewing and analyzing supporting documentation, describing/documenting existing procedures and recommending new processes if applicable
- Conducting internal interviews to understand current policies/procedures/practices, reviewing source documents, developing and administering testing surveys, composing summary testing memos and organizing/preparing testing work papers;
- Identifying, developing and documenting compliance testing issues and recommendations using independent judgment concerning areas being reviewed;
- Communicating the results of audit projects via written reports and verbal presentations to management;
- Developing and maintaining positive and productive relationships through individual contacts and meetings;
- Performing other Compliance related tasks and projects as requested.
- Knowledge in various investment management/broker-dealer securities rules and regulations;
- 5-7 years of regulatory compliance/audit experience within the financial service industry strongly preferred;
- Track record in planning and project management and in maintaining composure under pressure while meeting deadlines;
- Strong skills in working collaboratively with others, using rational judgment, resolving problems and negotiating issues;
- Proficient in Microsoft Office products including, Word, Excel, Outlook and other business software to prepare reports, memos and summaries.
Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com