Compliance Specialist
2 days ago
We are seeking a Compliance Specialist to join our team. In this role, you will be responsible for conducting risk-based monitoring and testing to assess the effectiveness of the control environment established by OUR CLIENT to comply with applicable legal and regulatory requirements.
Key Responsibilities:
- Conduct risk-based monitoring and testing to assess the effectiveness of the control environment established by OUR CLIENT to comply with applicable legal and regulatory requirements
- Assist with the monitoring and evaluating the impact of business developments, technology, third party engagements and regulatory updates on the Program
- Provide guidance to the business areas on their record management obligations
- Support other special projects or assignments, as assigned
Requirements:
- 7+ years of financial services industry experience in audit, risk, compliance, regulatory or data management functions
- Bachelor's degree required; advanced degree and/or certification a plus
- Experience working in a project-based role
Estimated Salary Range: $70 per hour (w2)
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