Compliance Testing Analyst

11 May 2024

Vacancy expired!

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
PERSONAL ATTRIBUTES / SKILLS / QUALIFICATIONS:
  • 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: #40671882
  • State: Maryland Owingsmills 21117 Owingsmills USA
  • City: Owingsmills
  • Salary: Up to $35
  • Job type: Contract
  • Showed: 2022-05-11
  • Deadline: 2022-06-21
  • Category: Education/teaching