About this role
Role Overview
- Evaluates the reliability and effectiveness of internal controls across the company
- Ensures adherence to regulatory standards
- Designs and executes the testing of regulatory processes and controls
- Presents findings and recommendations to management
- Oversees cross-functional implementation of broker dealer programs
- Reviews documentation of business processes, risks and controls
- Evaluates policies and procedures to identify gaps and opportunities
- Communicates new or revised policies to appropriate team members
Requirements
- 5+ years of financial services experience
- Series 7 and 24 completed within 120 days of start date
- 7+ years of financial services experience preferred
- Tenured experience researching and resolving issues
- Prior experience testing and monitoring procedures
- Proactive and willing to learn
- Flexible, a team player
Benefits
- superior retirement program
- highly competitive health, wellness and work life offerings