You will be responsible for executing regulatory compliance tests and supporting a risk-based program that demonstrates compliance with applicable laws and regulations
Job Summary
You will be responsible for executing regulatory compliance tests and supporting a risk-based program that demonstrates compliance with applicable laws and regulations.
Plan, scope, and execute compliance tests within framework standards, applying a risk-based approach to evaluate whether the firm has appropriate policies and procedures, and whether controls are reasonably designed and operating effectively to comply with applicable laws.
Here, you’ll find a collaborative culture that respects and values differences and colleagues who share a spirit of generosity.
Matching Summary
You will be responsible for executing regulatory compliance tests and supporting a risk-based program that demonstrates compliance with applicable laws and regulations.
Salary
Base: $110,000.00 - $188,000.00 (Maryland, Colorado, Washington, remote); $121,000.00 - $207,000.00 (Washington, D.C.); $138,000.00 - $236,000.00 (New York, California); Bonus/Equity: Annual bonus eligibility; Benefits: Health and wellness benefits, retirement plan, PTO, family care resources
Skills & Requirements
Must-have
risk-based compliance testing
evaluate compliance controls
US regulations for asset management
data analytics for testing
collaboration with global compliance
Nice-to-have
strategic thinking on emerging risks
AI and data visualization
influencing stakeholders
generosity and collaboration
Key Requirements
8+ years of total relevant work experience
Bachelor's degree or equivalent experience
Strong knowledge of US regulations (SEC, ERISA, FINRA, NFA, CFTC)
Proficiency in data analytics, automation, or technology-enabled approaches