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Compliance Examiner - Financial Operations
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- Software Guidance & Assistance, Inc., (SGA), is searching for a Compliance Examiner - Financial Operations for a Contract assignment with one of our premier Financial/Compliance clients in Rockville, MD.
- Examine and analyze the financial, operational, trading and business conduct activities of client and its RSA Client organizations to ensure compliance with the Securities and Exchange Commission's ( "SEC ) and Self-Regulatory Organizations' ( "SRO ) rules and regulations."
- Interact with member firm personnel in areas such as regulatory reporting, risk management, operations, trading and compliance; review business records prepared in each area to verify that activities are properly recorded and are in compliance with applicable rules and regulations."
- Review and test member organizations' internal controls around key business functions to ensure that related risks are adequately monitored and mitigated."
- Bachelor's degree in Finance, Accounting, Business Administration or a related discipline.
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