Regulatory Compliance Analyst

2 months ago


Stamford, Connecticut, United States Smith Arnold Partners Full time

Position Overview:
Are you an experienced compliance expert who excels in a dynamic and entrepreneurial global setting? This role offers the chance to advance your career while gaining exposure to international markets and senior leadership. If this resonates with you, the Compliance Testing Officer position at Smith Arnold Partners may be an ideal fit.

What Employees Are Saying:
"Senior Management is exceptional"
"A fantastic opportunity to engage with a successful publicly traded firm"
"Located in a desirable area"
"Outstanding training on cutting-edge technologies"
"Comprehensive benefits package"

A prominent and expanding publicly traded financial services organization is in search of a skilled Compliance Testing Officer. The ideal candidate will have a solid understanding of U.S. securities and/or 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 role presents an excellent opportunity for career advancement within a leading industry firm.

Key Responsibilities:

  • Develop, implement, and manage the compliance testing program, including testing methodologies, risk assessments, and schedules to ensure adherence to legal and regulatory standards.
  • 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 formulate action plans addressing any issues.
  • Monitor compliance testing findings from identification through to resolution.
  • Engage in 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, NFA, or within a broker-dealer or FCM context.
  • Experience in managing a team in compliance testing or audit functions 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 preferred.
  • Possession of audit or other relevant certifications is a plus.
  • Strong capability to work with various technology platforms.


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