Compliance Monitoring and Testing – Wealth Management recruitment
The purpose of the role is to participate in the monitoring and testing function by executing reviews, examinations, testing, and audits pursuant to Rule 3130 and Rule 206(4)-7 or the Advisers Act.
The Compliance professional will test the policies, procedures and processes related to the brokerage and investment advisory businesses to ensure that the company and employees are adhering to all rules, regulations and guidelines.
The role will be focused on the following:
• 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.
Please email resumes to Jack Kelly - jkelly@ComplianceSearch.com