Compliance Testing Specialist
2 weeks ago
Are you a seasoned compliance professional seeking a challenging role in a dynamic financial services firm? Do you have a passion for regulatory compliance and a desire to work with a talented team? If so, this Compliance Testing Officer opportunity at Smith Arnold Partners could be the perfect fit for you.
As a Compliance Testing Officer, you will play a critical role in ensuring the firm's compliance with relevant legal and regulatory requirements. You will be responsible for developing, executing, and managing the firm's compliance testing program, including testing procedures, methodologies, risk assessments, and frequency schedules.
Key Responsibilities:
- Develop and implement compliance testing procedures and methodologies to ensure the firm's adherence to regulatory requirements.
- Coordinate with stakeholders across various departments to execute testing reviews and ensure compliance 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 a related field.
- 7-10 years of experience in compliance testing or a related field, with a focus on security or commodity regulations.
- 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, 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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