Compliance Testing Analyst

Madison-Davis
Florida
Full-time

Investment bank with offices in Jacksonville, FL looking to bring on board an Compliance Testing Analyst to join their team.

The firm is currently in a hybrid model (3 days in office).

Responsibilities :

  • Conduct and / or support compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements
  • Assist in the developing of testing modules and conduct testing across all business activities to evaluate adherence to regulatory requirements and compliance risks
  • Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region
  • Identify Compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks or whether any existing control framework adequately manages the risks
  • Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period
  • Some travel may be required
  • 30+ days ago
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