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Compliance Testing Officer

2 months ago

Stamford, Connecticut, United States Smith Arnold Partners Full time
Compliance Testing Officer Opportunity

Are you a seasoned compliance professional seeking a challenging role in a dynamic and growing financial services firm? Do you have experience designing, maintaining, and managing compliance testing programs? If so, this Compliance Testing Officer opportunity at Smith Arnold Partners could be the perfect fit for you.

About the Role

We are seeking a highly skilled Compliance Testing Officer to join our team. As a key member of our compliance department, you will be responsible for developing, executing, and managing our compliance testing program. This will include testing procedures, methodologies, risk assessments, and frequency schedules to ensure compliance with relevant legal and regulatory requirements and industry best practices.

Responsibilities
  • Develop and execute compliance testing procedures and methodologies to ensure effective risk management and regulatory compliance.
  • Coordinate with stakeholders across various departments to ensure compliance testing reviews are conducted in accordance with firm procedures.
  • Draft specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff.
  • Report compliance testing findings to management and define management action plans with stakeholders to address findings.
  • Track compliance testing findings from discovery to remediation.
  • Perform special projects as needed.
Requirements
  • Bachelor's degree in finance, accounting, or other relevant discipline.
  • 7-10 years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm, or law firm with a focus on security or commodity regulations, a broker-dealer, or an FCM.
  • Experience managing a team in a compliance testing or audit role is strongly preferred.
  • Registrations (i.e., SIE, Series 7, 24, and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia.
  • Experience with Atlassian Confluence/JIRA preferred.
  • Audit or other relevant Certification preferred.
  • Strong ability to work with various technology platforms.
What We Offer

As a Compliance Testing Officer at Smith Arnold Partners, you will have the opportunity to work with a successful and growing financial services firm. You will be part of a dynamic team that is passionate about delivering exceptional results and making a positive impact in the industry. We offer a competitive salary, bonus, and equity eligibility, as well as opportunities for professional growth and development.