Job opening
Broker-Dealer Compliance Testing
Filed under Investment Banking
Full job description
A leading investment bank/broker-dealer is looking to hire a Compliance Testing professional. Reporting to an MD on their compliance team, this individual will assist in the development and execution of the firm's compliance testing program.
Day-to-day you will:
- Assist with compliance testing responsibilities.
- Complete compliance risk assessments.
- Assess and improve internal controls.
- Assist with surveillance enhancements.
You should apply if you:
- Have 2+ years of broker-dealer compliance experience
- Have experience with supervisory control testing.