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 Read more […]
February 19, 2012
• Tags: Compliance Monitoring and Testing, Investment Banking, M & A careers in the USA, Wealth Management recruitment • Posted in: Financial • Comments Off on Compliance Monitoring and Testing – Wealth Management recruitment