Compliance Tester – Contract

2 weeks ago

Dallas, United States Investment Bank Full time

Responsibilities:

  • Develop compliance testing programs for specific business units and products based upon applicable laws, regulations, risks, and internal policies.
  • Independently conduct compliance testing of regulatory requirements, processes, policies, procedures, and controls under the direction of the Compliance Independent Testing (CIT) Manager and/or Head of CIT in order to assess and review compliance with legal, regulatory and internal firm policy and procedure requirements.
  • Conduct testing of key controls of the first and second lines of defense.
  • Escalate potential issues and exception items noted during the review process to CIT Manager / CIT Head for discussion and further investigation if deemed necessary.
  • Draft and validate issues and recommendations addressing the root cause of the issues with stakeholders.
  • Draft reports detailing regulatory requirements, testing conducted, review findings and recommendations. Issue final reports to senior management.
  • Ensure that all findings and recommendations are entered into the Reporting & Issue Tracking Application database for tracking purposes and perform periodic follow-up of open issues to ensure proper resolution.
  • Periodically report on significant activities conducted and planned for the upcoming period, including various metrics.
  • Conduct adhoc testwork of various rules and regulations in conjunction with the annual CEO/CCO Certifications.
  • Assist with the annual CEO/CCO Certifications as needed.
  • Initiate and conduct projects within CIT to enhance the team’s processes to reach overall team goals.
  • Conduct various CIT tasks in the normal course of business and in addition to testing.
  • Conduct or assist with special investigations and projects as deemed necessary by senior Compliance and business management.
  • Assist in compliance related matters during examinations by the Firm’s regulators and internal auditors.
  • Achieve objectives within strict time constraints.

Minimum Required Qualifications:

The desired skills for this position include:

  • Strong testing, audit and/or regulatory experience of regulatory requirements, processes and controls.
  • Strong knowledge of U.S. securities, commodities, and banking regulations, including the rules and regulations of the SEC (i.e., SEC Rule 15c3-5, SEC Rule 15a-6), CFTC and all exchanges and associations under such federal agencies, including Client, NYSE, CBOE, Client, CME, NYMEX and ICE US. Such knowledge should also include Client Board regulations, Volcker, CFTC Swap Dealer, and SEC Swap Dealer requirements.
  • Strong industry knowledge and working knowledge of the financial services focused on broker-dealer, futures and banking activities.
  • Strong ability to apply knowledge of rules and regulations to numerous types of trading and banking activities and operational arrangements in addition to interpreting the effect of new regulations on these activities.
  • Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
  • Excellent writing skills summarizing regulatory requirements, testing performed, results, findings and recommendations.
  • Excellent execution skills with the ability to work successfully under demanding deadlines within a change management environment, manage multiple compliance reviews/projects/tasks at the same time, and meet deadlines.
  • Strong analytical and investigative skills.
  • Problem solving and root cause identification skills.
  • Acute business acumen and understanding of organizational issues and challenges.
  • Strong organizational and project management skills, and attention to detail.
  • Demonstrate and influence others with a positive attitude in the workplace and the ability to accept accountability.
  • Strong computer skills including MS Office Suite, PowerBI, and Sharepoint administration.
  • Eight to twelve years of experience with a financial services firm and/or self-regulatory organization in a Compliance Testing, Internal Audit or regulatory related position.
  • BA or BS Degree a must.

Preferred Qualifications:

  • Graduate Degree a plus.
  • Professional Certification or Securities licenses preferred (SIE, Series 3, 4, 7, 9 / 10, 24).
  • Speaks and reads Spanish or French a plus.

Client Registrations Required:

  • SIE or equivalent (must be obtained within the first year of employment)
  • Series 7 (may be taken after the SIE)

CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required): Not Applicable


SEC Security-Based Swap Dealer Associated Person: Not Applicable

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