California Licensed Compliance AnalystVirtualVocations • Scottsdale, Arizona, United States
California Licensed Compliance Analyst
VirtualVocations • Scottsdale, Arizona, United States
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A company is looking for a Fiduciary Compliance Testing Analyst to assist in compliance testing related to fiduciary activities.
Key Responsibilities
Develop and maintain rapport with business lines and stakeholders to support the Compliance Management Program
Plan, develop, and execute compliance testing, including control design and transactional testing
Lead meetings to discuss findings and draft reports on review results
Required Qualifications
Associate degree or equivalent in Accounting, Finance, or Business Administration with a strong emphasis in Accounting or Finance
Two years of compliance, audit, or quality control experience with a financial institution, consulting firm, or regulatory agency
Strong working knowledge of laws and regulations specific to fiduciary activities
Examination experience with a state or federal regulatory agency is a plus
Currently holding or actively pursuing Certified Fiduciary and Investment Risk Specialist (CFIRS) designation is preferred
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