Smith Arnold Partners

A highly successful and growing publicly traded financial services firm is seeking to hire a talented Compliance Testing Officer who is familiar with U.S. securities and/or commodities regulations and has appropriate experience at a regulatory agency, exchange, accounting firm or law firm.. Tracking compliance testing findings from discovery to remediation.. 7-10 plus years of 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.. Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia.. Experience with Atlassian Confluence/JIRA preferred.

compliance

Are you a compliance professional who thrives in a fast-paced entrepreneurial global environment where you will be both rewarded for your efforts and afforded the opportunity to take your career to the next level? Would a role offering exposure to worldwide markets, as well as to senior management, be appealing to you? If so, this Compliance Testing Officer opportunity could be for you. What are people saying about his employer?“Senior Management is top shelf!” “Great opportunity to work with a successful publicly traded company!” “Located in attractive Fairfield County environs!” “Excellent training on new technologies!” “Great fringe benefits!”A highly successful and growing publicly traded financial services firm is seeking to hire a talented Compliance Testing Officer who is familiar with U.S. securities and/or commodities regulations and has appropriate experience at a regulatory agency, exchange, accounting firm or law firm. Additionally, the successful candidate should be someone who possesses experience designing, maintaining, and managing compliance testing programs. This is an excellent opportunity to grow your career with an industry leader.Title: Compliance Testing Officer – Hybrid Salary: $175,000 to $225,000, Bonus & Equity eligible Location: Stamford, CTResponsibilities:<ul><li>Responsibilities for the Compliance Testing Officer will include developing, executing, and managing the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with relevant legal and regulatory requirements and industry best practices.</li><li>Coordinating the execution of testing reviews with stakeholders across various departments and ensuring reviews are conducted in accordance with firm procedures while managing a staff.</li><li>Drafting specifications for testing queries, scripts, and enhanced controls to be implemented by business or programming staff.</li><li>Reporting compliance testing findings to management and defining management actions plans with stakeholders to address findings.</li><li>Tracking compliance testing findings from discovery to remediation.</li><li>Performing special projects as needed.Requirements:</li><li>Bachelor’s degree in finance, accounting, or other relevant discipline.</li><li>7-10 plus years of 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.</li><li>Experience managing a team in a compliance testing or audit role is strongly preferred.</li><li>Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) if no registrations can consider a member in good standing of the bar of any U.S. state or the District of Columbia.</li><li>Experience with Atlassian Confluence/JIRA preferred.</li><li>Audit or other relevant Certification preferred.</li><li>Strong ability to work with various technology platforms.</li></ul>

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