Our client, the Securities branch of a major investment bank, is looking for a Compliance Testing & Monitoring Associate/AVP to join their New York team.
The ideal candidate will:
- Have a strong familiarity working with compliance risk assessment and compliance testing systems, as well as reviewing gap analysis
- Create the annual compliance action plan and report results to the leadership team
- Maintain the compliance testing program and assist with updating firm's policies and procedures
- Have a strong working knowledge of SEC and FINRA regulations
Successful candidates will have a Bachelor's degree coupled with 2-5 years of experience at a broker dealer, accounting firm, or securities branch. This is an excellent opportunity to build out a comprehensive compliance tool kit offering exposure to all areas under the CCO. Must have strong attention to detail, the ability to multi-task and work independently and possess excellent communication skills.
For more information, and a discussion in confidence, please email or call Kendall Hughes at +1 646-766-1226.