Responsibilities
- Performing broker dealer compliance testing reviews aimed at assessing the organization's ability to comply with applicable regulatory requirements
- The testing will focus on key regulatory requirements, controls and processes related to securities, banking products, futures, exchange traded derivatives and swaps
- Executing the firm’s annual compliance testing program
- Developing the testing program and testing scripts for reviews
- Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures.
- Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.
- Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff.
- Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings.
- Tracking compliance testing findings from discovery to remediation.
- Other Core Compliance activities as needed.
Qualifications
- At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred.
- Experience testing regulatory requirements related to markets and trading across various products, such as stocks, options, bonds, and futures.
- High degree of comfort and fluency with computers and technology.
- Outstanding oral and written communication skills.
- Ability to work both independently and to multi-task with minimal supervision.
- Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can 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.
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with a competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
- Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
- Paid time off and a generous parental leave policy
- Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events, including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
- Modern offices with multi-monitor setups