This job ad has been posted over 40 days ago...
Compliance Officer, Monitoring and Testing
at The Compliance Search Group in New York
This position, as part of the Compliance team, will work closely with management, sales, trading, operations, technology, and other areas to ensure the high net worth and advisory businesses comply with Firm policies and procedures as well as the requirements of regulatory authorities.
Responsibilities include:
㻠Develop and execute an ongoing control monitoring and testing program designed to evaluate the effectiveness of key compliance controls within BWA, via routine and/or ad hoc monitoring and testing of processes and procedures
㻠Develop and execute test plans and test scripts regarding, among others: AML, Sanctions; KYC; Suitability; Trust services; gifts and entertainment; Banking platform; and Sales Practice
㻠Help drive corrective actions required to improve the compliance processes and procedures
Position requires:
㻠5-10 years general compliance experience, including AML
㻠Prior regulatory experience
㻠Experience with global operations of a large financial institution
㻠Strong understanding of regulatory control framework
㻠Audit or exam experience in financial services
㻠BA/BS; advanced degree preferred
㻠Spanish a plus
Please submit resume to Jack Kelly, JKelly@ComplianceSearch.com
Responsibilities include:
㻠Develop and execute an ongoing control monitoring and testing program designed to evaluate the effectiveness of key compliance controls within BWA, via routine and/or ad hoc monitoring and testing of processes and procedures
㻠Develop and execute test plans and test scripts regarding, among others: AML, Sanctions; KYC; Suitability; Trust services; gifts and entertainment; Banking platform; and Sales Practice
㻠Help drive corrective actions required to improve the compliance processes and procedures
Position requires:
㻠5-10 years general compliance experience, including AML
㻠Prior regulatory experience
㻠Experience with global operations of a large financial institution
㻠Strong understanding of regulatory control framework
㻠Audit or exam experience in financial services
㻠BA/BS; advanced degree preferred
㻠Spanish a plus
Please submit resume to Jack Kelly, JKelly@ComplianceSearch.com
Published at 05-03-2010
Viewed: 28 times
Viewed: 28 times