Monitoring and Testing Compliance Associate
Salary $90000 - $110000 per year
Consultant Lucky Nguyen
Date posted September 22, 20187 Times Square New York NY 10036 Robert Walters United States of America
A well known investment bank is looking for a compliance associate to join their monitoring and testing team to exam internal controls and to assist with branch inspections.
- Assist with branch office inspections covering all business lines.
- Create detailed written reports documenting inspection findings, which will be presented to and subsequently issued to management.
- Validate remediation plans and verify that required corrective action has been satisfactorily implemented.
- Participate in the annual review and assessment of the branch inspection program, recommending new testing / IT initiatives as necessary.
- Participate in thematic, risk-based internal controls testing as required by FINRA Rules 3110 and 3120.
- Participate in the Internal Controls Risk Assessment process, recommend areas for testing, and contribute to the development of testing matrices.
- Create internal controls final reports detailing all identified observations, which will be presented to management