New job Core Compliance, Compliance Examiner Connecticut

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Core Compliance, Compliance Examiner Connecticut Gerald Elliott posted a job: Core Compliance, Compliance Examiner Connecticut "Our client a top-tier financial services firm seeks a Core Compliance Examiner to oversee institutional sales and trading desk reviews. He/She will conduct reviews and examinations of the divisions of the firm with an emphases on trading floor activities. Other responsibilities include: • Design and develop compliance examination audit plans to cover the review of annual inspections, as well as the examination of key business units. • Manage performance of exams to ensure compliance with SRO rules, Firm Policy and recent regulatory developments or findings. • Independently formulate the methodologies for testing key elements of the business conducted by the branch and business units. • Communicate with key personnel to discuss business and regulatory concerns as well as to provide continuing education to reinforce Firm policy. • Prepare examination report to present findings to the Supervisors and Senior Management. • Formulate plans and determine necessary corrective action to take with the Supervisors in order to address any examination findings or material weakness identified. Supervisory and Internal Controls Examinations • Perform an assessment of the overall adequacy of the Firm’s supervisory and internal control systems (examinations focused on hot topics/issues noted throughout the year). • Prepare examination plans to identify supervisory/internal control issues to review and the methodology to perform such testing. • Identify improvements to processes and procedures to senior management and assist in correction of issues identified. Special Reviews • Identify business areas or processes that need additional analysis and design, develop, and manage implementation of targeted reviews of these areas and processes. Operations Risk Testing and Reporting • Perform the self testing for the Compliance Department to cover various Compliance processes. Draft Firm Procedures and Compliance Memorandum • Prepare Compliance Memorandum to address current regulatory issues and to reinforce findings identified during compliance examinations. Monitor for Upstream Risk • Monitor for risks as it relates to the examination process specifically by attending regulatory conference, reviewing periodicals, surveilling the internet and networking with industry professionals. Qualifications: 5+ years of relevant experience To apply please submit your resume to Info@compliancesearch.com"

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