Compliance Testing Officer
📋 Role Overview & Responsibilities
My client is searching for a Compliance Testing Officer. This position helps guarantee processes and transactions are following all legal & internal guidelines.
implement a legal compliance programdevelop company policiesmanagement advisory on compliance with laws & regulations Audit processes, practices, and documents to identify risks 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. Experience with Atlassian Confluence/JIRA preferred.Audit Certification preferred.Managerial experience preferred.Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration)To be immediately considered please reach out to me at amy.ospital@rightworksinc.com
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This position is located in Greenwich, CT with potential relocation and sponsorship assistance depending on candidate qualifications.
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