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Risk Compliance Officer

3 months ago

New York, United States Mission Staffing Full time

Our client, a well-known Broker Dealer in Midtown, NY, is looking to add a Compliance Testing Analyst to their team. Requirements of this position include running regulatory framework testing for FINRA 3120 compliance, documenting the results of various risk assessments, and conducting supervisory procedural testing. The ideal candidate will come with at least seven years of broker dealer compliance testing experience, proficiency in Microsoft Excel, and extensive knowledge of FINRA Rule 3120.



Responsibilities Include:

  • Running FINRA Rule 3120 compliance testing on the firm's existing regulatory controls and framework
  • Reviewing and documenting test results to present to senior compliance leadership
  • Conducting branch office risk assessments and supervisory control procedural testing


Requirements:

  • At least seven years of policy, procedure, and controls compliance testing
  • Exceptional knowledge and understanding of FINRA Rule 3120
  • Working knowledge of Microsoft Excel


Client Specs: