This job ad has been posted over 40 days ago...
Investment Management Division Testing Role
at The Compliance Search Group in Salt Lake City, Utah
Our client, a top-tier global investment bank, is seeking a Testing professional to serve on the Investment Management Division Testing team, which is responsible for testing the activities of the Private Wealth Management and Asset Management divisions.
The Team members will create detailed work programs, execute the steps for those plans and memorializes its results in detailed written summaries. During the testing process, the team members will meet with Senior Compliance and Business Management to discuss the testing process and the results of the testing. The IMD Team members are also responsible for identifying solutions to any control gaps or deficiencies identified in the testing process.
Principal Responsibilities
• Understand the various business divisions and applicable policies and procedures and securities rules and regulations.
• Create detailed testing work programs to ensure compliance with regulatory local regulations and firm policies.
• Execute the testing.
• Document the testing performed, observations and action items as applicable in organized work papers.
• Communicate observations and recommendations to Senior Compliance and Business Management.
• Monitor the implementation of action items as applicable.
Experience/Skills
• Audit, compliance , regulatory or other comparable experience preferred.
• Industry knowledge and 4-8 years of relevant experience preferred.
• Knowledge of rules and regulations preferred including SEC and SRO Rules and Regulations and the Investment Advisers Act of 1940.
• Ability to review regulations and firm policy for the purpose of developing test working programs and identifying control gaps or deficiencies.
• Ability to work effectively with both junior and senior personnel across various departments (including compliance, legal, operations, technology and business).
• Ability to travel.
• Proficiency in all Microsoft Office applications including Word, Excel and Powerpoint.
Please submit resume to Jack Kelly, JKelly@ComplianceSearch.com
The Team members will create detailed work programs, execute the steps for those plans and memorializes its results in detailed written summaries. During the testing process, the team members will meet with Senior Compliance and Business Management to discuss the testing process and the results of the testing. The IMD Team members are also responsible for identifying solutions to any control gaps or deficiencies identified in the testing process.
Principal Responsibilities
• Understand the various business divisions and applicable policies and procedures and securities rules and regulations.
• Create detailed testing work programs to ensure compliance with regulatory local regulations and firm policies.
• Execute the testing.
• Document the testing performed, observations and action items as applicable in organized work papers.
• Communicate observations and recommendations to Senior Compliance and Business Management.
• Monitor the implementation of action items as applicable.
Experience/Skills
• Audit, compliance , regulatory or other comparable experience preferred.
• Industry knowledge and 4-8 years of relevant experience preferred.
• Knowledge of rules and regulations preferred including SEC and SRO Rules and Regulations and the Investment Advisers Act of 1940.
• Ability to review regulations and firm policy for the purpose of developing test working programs and identifying control gaps or deficiencies.
• Ability to work effectively with both junior and senior personnel across various departments (including compliance, legal, operations, technology and business).
• Ability to travel.
• Proficiency in all Microsoft Office applications including Word, Excel and Powerpoint.
Please submit resume to Jack Kelly, JKelly@ComplianceSearch.com
Published at 05-03-2010
Viewed: 41 times
Viewed: 41 times