Compliance Examiner recruitment

•Perform Branch / Desk Reviews

•Design and develop compliance examination audit plans to cover the review of annual branch office 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.

•Coordinate 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.

•Perform 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.