Monitoring and Testing Compliance Associate
Within this role you will have the opportunity to work within their testing group and assist with the execution of the monitoring and testing activities of the bank, including but not limited to testing and monitoring reviews of specific lines of business and their compliance with the necessary rules, policies and regulations, as well as surveillance activities.
You must possess:
* Bachelor's degree
* Knowledge of SEC and FINRA regulations
* 2-5 years prior compliance monitoring and testing experience or audit, securities sales and trading or back office experience.
* Series 7 and 63 preferred
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