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Compliance, Regulatory Remediation - Quality Control, Associate
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Full-time
- Broad knowledge of financial products, markets, and laws and regulations such as FINRA rules, SEC rules, CFPB and OCC regulations, and the Investment Company Act of 1940
- Prior experience in compliance, product controllers, legal, regulatory, audit or risk management functions in the firm’s various businesses, e.g., consumer banking, asset or wealth management and/or global banking and markets businesses
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
- Financial instruments product knowledge, accounting experience or Consumer Compliance experience (a Financial Engineering qualification, CFA, PRMIA/FRM qualifications or CPA, CRCM)
- Fluency in French, Spanish, German, Japanese, Korean, or Mandarin Chinese is a plus
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