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PRINCIPAL RESPONSIBILITIES:
- Execute tests on the annual Compliance test plan within framework standards
- Plan, scope, and set test objectives for assigned areas of testing
- Apply a risk-based approach to evaluate whether the firm has appropriate policies and procedures to meet regulatory requirements
- Evaluate those controls are operating effectively to comply with applicable laws
- Apply data analytics to execute and increase the depth of tests, as applicable
- Identify and offer recommendations resulting from testing, and collaborate with business partners to assist in developing remediation plans to ensure the areas of concern are addressed in a timely manner
- Draft reports describing testing performed and results
- Assist in facilitating and documenting the compliance risk assessment
- Analyze and prepare reports on the results of the compliance risk assessment for management
- Bachelor's degree or the equivalent combination of education and relevant experience
- 6 - 8 years of total relevant work experience
- Extensive working knowledge of compliance within the asset management industry
- Strong working knowledge of US regulations applicable (e.g., SEC, ERISA, FINRA, NFA, CFTC)
- Team player who is able to build collaborative working relationships and interact with a diverse group of internal partners
- Solid attention to detail, strong problem solving, analytical, organization, coordination, and critical thinking skills
- Strong verbal and written communication skills; an articulate and effective communicator, including the ability to present complex concepts into understandable and actionable points
- Strong organization and prioritization skills while executing multiple priorities simultaneously, accurately, and timely
- ID: #40576979
- State: Maryland Owingsmills 21117 Owingsmills USA
- City: Owingsmills
- Salary: Up to $35
- Job type: Contract
- Showed: 2022-05-10
- Deadline: 2022-06-21
- Category: Education/teaching