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Regulatory Compliance Testing Specialist

3 months ago

Stamford, Connecticut, United States Smith Arnold Partners Full time

Are you a compliance expert seeking a dynamic role in a fast-paced global setting? This position offers a unique opportunity to enhance your career while being recognized for your contributions. If you are interested in gaining exposure to international markets and collaborating with senior leadership, this Compliance Testing Officer role may be the perfect fit for you.

What sets this employer apart?

  • Highly regarded senior management team
  • Opportunity to work with a successful publicly traded financial services firm
  • Located in a desirable area
  • Comprehensive training on the latest technologies
  • Attractive benefits package

A leading and expanding publicly traded financial services organization is in search of a skilled Compliance Testing Officer. The ideal candidate will have a strong understanding of U.S. securities and commodities regulations, along with relevant experience from a regulatory body, exchange, accounting firm, or law firm. The successful applicant should also have a background in designing, implementing, and overseeing compliance testing programs. This is an exceptional chance to advance your career with a recognized industry leader.

Key Responsibilities:

  • Develop, execute, and manage the compliance testing program, ensuring adherence to legal and regulatory standards as well as industry best practices.
  • Coordinate testing reviews with various stakeholders, ensuring compliance with established procedures while overseeing a team.
  • Create specifications for testing queries, scripts, and enhanced controls to be executed by business or programming teams.
  • Report findings from compliance testing to management and collaborate with stakeholders to establish action plans for addressing any issues.
  • Track compliance testing findings from identification through to resolution.
  • Undertake special projects as required.

Qualifications:

  • Bachelor's degree in finance, accounting, or a related field.
  • 7-10 years of experience with regulatory bodies such as the SEC, FINRA, CFTC, or NFA, or within a broker-dealer or FCM context.
  • Experience in managing a team within a compliance testing or audit environment is highly preferred.
  • Relevant registrations (e.g., SIE, Series 7, 24, and/or Series 3) or a member in good standing of the bar in any U.S. state or the District of Columbia.
  • Familiarity with Atlassian Confluence/JIRA is advantageous.
  • Audit or related certifications are preferred.
  • Strong capability to engage with various technology platforms.