About this role
Role Overview
- Evaluates the reliability and effectiveness of internal controls across the company
- Ensures adherence to regulatory standards and proper oversight is being conducted over broker dealer activities
- Contributes to establishing operating routines and procedures that enable sound supervisory practices
- Designs and executes the testing of regulatory processes and controls
- Presents findings and applicable recommendations to management and/or appropriate business partners
- Oversees cross-functional implementation of broker dealer programs including analysis of regulatory risks in operational areas
Requirements
- 5+ years of financial services experience
- Series 7 and 24 completed within 120 days of start date
- Proactive and willing to learn
- Flexible, a team player
- Tenured experience researching and resolving issues
- Prior experience testing and monitoring procedures
Benefits
- Comprehensive Total Rewards package
- Superior retirement program
- Highly competitive health, wellness and work life offerings