Compliance Assessment Group
Position Description
Planning, preparing and executing regulatory and compliance-based reviews for Sales and Trading, Investment Banking, Research, Commodities, Futures, Prime Brokerage, Bank Resource Management and Operations Divisions. These reviews include desk, branch and targeted assessments, which are primarily focused on evaluating controls and compliance with rules, regulations and Firm policies and procedures. Also will assist the team in the development of risk based assessment programs, conducting information gathering sessions with Business Unit personnel (including management and support staff), performing substantive on-site testing, summarizing results, preparing written reports to be presented to management, and tracking all issues raised in the course of the review until resolution.
Skills Required
3 - 6 years of compliance experience in the financial services industry, an SRO or in Internal Audit with exposure to any of the above noted business areas/products.
Excellent verbal and written communication skills.
A basic understanding of products, sales, trading, and systems are also required.
Series 7 other certifications are a plus.
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