Job Description
A leading investment bank/broker-dealer is looking to hire a Compliance Testing professional. Reporting to an MD on their compliance team, this individual will assist in the development and execution of the firm's compliance testing program.
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Day-to-day you will:
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- Assist with compliance testing responsibilities.
- Complete compliance risk assessments.
- Assess and improve internal controls.
- Assist with surveillance enhancements.
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You should apply if you:
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- Have 2+ years of broker-dealer compliance experience
- Have experience with supervisory control testing.
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