New job Compliance Monitoring and Testing New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Compliance Monitoring and Testing New York, NY Gerald Elliott posted a job: Compliance Monitoring and Testing New York, NY "Our client, a major global financial services provider, seeks a person for a Compliance Monitoring and Testing position. The purpose of the role is to support the firm’s Monitoring and Testing function by carrying out reviews pursuant to FINRA Rule 3130 and/or SEC Rule 206(4)-7 of the Advisers Act which includes testing of policies, procedures and processes related to our brokerage business and our Advisory offering. Responsibilities: * Work to establish a risk based review plan to meet review cycle requirements * Perform testing of compliance and regulatory related controls to evaluate effectiveness * Draft preliminary recommendations and work with responsible owners to agree on corrective action based on review findings * Follow-up on action plans to verify that corrective action has been effectively implemented * Provide necessary training and assistance to other members of the team to ensure they are able to plan and conduct compliance reviews * Work with Compliance and Business colleagues to prepare for regulatory examinations Qualifications: * 3+ years of experience in financial industry. * 3+ years of experience in a testing or branch examination position * Series 7, 66 and 24 a plus. * High level attention to detail. * Experience in Investment Advisory Act of 1940, and Compliance To apply please submit your resume to Info@compliancesearch.com"

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