Compliance Testing Officer

4 weeks 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 environment? Smith Arnold Partners is seeking a talented Compliance Testing Officer to join our team. In this exciting opportunity, you will have the chance to work with a highly successful and growing publicly traded financial services firm.

Responsibilities:
  • Develop, execute, and manage the firm's compliance testing program, including testing procedures, methodologies, risk assessments, and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
  • Coordinate the execution of testing reviews with stakeholders across various departments and ensure reviews are conducted in accordance with firm procedures while managing a staff.
  • 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.

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