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.
Responsibilities:
- 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
Qualifications:
- 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: Brianna@conselium.com
