Upvote
Downvote
Compliance, Compliance Testing Group, Compliance Investigator, Associate / Vice President
Share Job
- Suggest Revision
- Compliance Testing Group (“CTG”) is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to conduct compliance reviews covering various firm businesses and divisions.
- The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to refine firm processes.
- CTG’s global team (with locations in New York, Dallas, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong) is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, prosecutors, compliance professionals and traders).
- The ideal candidate will possess and leverage their extensive knowledge in wealth or asset management through prior roles (e.g., compliance, financial advisor, sales, product controller, market risk, legal, or audit) to investigate whether activities and practices comply with policies and regulations and the firm’s compliance control infrastructure.
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting
Expired 7 days agoInactive Job
Similar Job
Relevance
Active