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Compliance Auditor
2 months ago
- Review written compliance policies and procedures pertaining to insurance, registered investment adviser and broker-dealer standards
- Test business units' compliance to ensure effectiveness of policies and procedures
- Write and present reports on test/audit findings
- Communicate clear and concise findings to business leaders and compliance leadership
- Take on projects related to compliance and be accountable for completion with or without direct oversight
- Collaborate with business partners to update policies and procedures; satisfy any gaps identified during test/audit
- Stay up to date on federal and state statutes/regulations pertaining to the securities industry
- Take a proactive approach to problem solving and aim for regular process improvement
- Minimum 3-5 years of experience in audit or testing
- Experience in financial services such as areas in supervision, compliance and/or regulatory management
- Knowledge of FINRA, SEC and various state rules/ regulations
- Strong organizational skills; ability to prioritize and work with a high degree of accuracy while handling multiple responsibilities
- Confident, professional and articulate in written and verbal communication; ability to interact with all personality types and with all levels of staff
- Able to work alone or in a team environment
- Ability to handle confidential information
- FINRA licenses Series 7, Series 24 are preferred
- Experience drafting business procedures, documents and/or training development
- Experience writing internal communications for large audiences
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package upon your start date
- Access to an on-site cafe, gym and primary care
- Continuous personal and professional development opportunities
- Recognition for hard work & exemplary performance
- Employee sponsored events...and more
Apply for this Position