Compliance Testing Officer

No sponsorship

Compliance Testing Officer

Our company is searching for a motivated and experienced compliance officer to guarantee that our business processes and transactions follow all relevant legal and internal guidelines. Your duties will include reviewing employee work, developing company policies, and responding to policy violations.

The ideal candidate will be professional, highly-analytical, and possess excellent written and verbal communication skills. To prosper in this role, you should be fluent in risk management and our industry’s principles.

Responsibilities:

• Implement and manage an effective legal compliance program.
• Develop and review company policies.
• Advise management on the company’s compliance with laws and regulations through detailed reports.
• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
• Assess company operations to determine compliance risk.
• Ensure all employees are educated on the latest regulations and processes.
• Resolve employee concerns about legal compliance.

Requirements:

• Bachelor’s degree in law, finance, business management, or a related field.
• 5 years’ proven experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM.
• Good knowledge of legal requirements and procedures.
• Excellent degree of comfort and fluency with technology and computers.
• Experience with Atlassian Confluence/JIRA preferred.
• Audit Certification preferred.
• Managerial experience preferred.
• Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration)
• If no registrations, will consider a member in good standing of the bar of any U.S. state or the District of Columbia.
• Brilliant oral and written communication skills.
• Highly-analytical with strong attention to detail.
• Ability to multi-task with minimal supervision.
• Ability to work in a small-team environment as well as independently.
• Experience in a compliance testing or audit role is strongly preferred.

Job Type: Full-time

Pay: $100,000.00 - $150,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Flexible schedule
• Health insurance
• Parental leave

Schedule:

• Monday to Friday

Application Question(s):

• Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a

member in good standing of the bar of any U.S. state or the District of Columbia.

Experience:

• Atlassian Confluence/JIRA: 1 year (Required)
• U.S. securities and/or commodities regulations: 1 year (Required)
• SEC, FINRA, CFTC, NFA: 4 years (Required)
• broker: 1 year (Required)

Ability to Relocate:

• Greenwich, CT 06830: Relocate before starting work (Required)

Work Location: Hybrid remote in Greenwich, CT 06830