Compliance Jobs

Compliance Associate – Broker Dealer Testing, Financial Services, Greater St. Louis Area

By October 10, 2018 No Comments

Compliance Associate – Broker Dealer Testing

Financial Services Company

Greater St. Louis area

We are working with a large financial services company in their search for a Compliance Consultant III (Broker-Dealer Testing Support)

Why Join Us:

  • Large, continuously growing Financial Services Company
  • Plenty of room for career growth opportunities
  • Excellent benefits including: PTO, comprehensive and competitive medical benefits, 401K with excellent match and more.


  • Provide support in the planning and execution of a testing program over various areas within the brokerage and investment advisory business
  • Ensure compliance with federal, state, agency, legal and regulatory requirements
  • Evaluate the adequacy of the control environment
  • Perform substantive testing of internal controls
  • Draft reports of findings and provide recommendations for business line management
  • Evaluate the adequacy and effectiveness of policies, procedures and processes


  • Required
    • 2+ years in compliance, audit, operational risk management or a combination of both
    • 2+ years in one or a combination of the following: additional compliance, additional risk management,  IT systems security, or business process management
  • Experience within Financial Services Industry preferred
  • Employee Retirement Income Security (ERISA) knowledge a plus.
  • FINRA Series 7 License preferred.


Application Process:

  • Please send resume to Brianna Burns:
Published by Conselium Executive Search, the global leader in compliance search.  

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