Analyst - Compliance Testing Officer

We are a leading global financial services organization with a strong presence across major markets. Our Firm provides a full range of investment banking, brokerage, and asset management services. We are committed to maintaining the highest standards of integrity, regulatory compliance, and operational excellence.

The Testing Compliance Officer will support the firm’s Compliance Testing program by assisting in the evaluation of controls designed to meet regulatory and internal policy requirements. This role provides exposure to regulatory frameworks, risk assessment, and control testing while working closely with compliance and business stakeholders across the organization.

The successful candidate will possess the following responsibilities in the day-to-day execution of the role.

• Research and analysis of financial services and securities laws, rules, and regulations that are the source of the Firm’s regulatory and compliance risk exposure
• Assist the development of test scripts and thematic financial regulation-related test programs to accurately identify risk and result in fact-based assessments of the controls and process outcomes specific to the risk
• Perform compliance reviews that include assessing the design and operating effectiveness of supervisory controls or testing to determine whether legal, regulatory, and internal policy outcomes are met by the Firm’s Broker-Dealer legal entities and affiliates
• Engage with front-office, middle-office, and back-office stakeholders to check and challenge facts or fact patterns and actively progress the testing lifecycle at a pace that ensures timely delivery of reports to our stakeholders
• Negotiate remediation plans that effectively reduce the Firm’s risk exposure to financial and securities-related laws, rules, and regulations
• Draft written findings and report on test results that clearly communicate the facts, risk and impact of control gaps to stakeholders including and negotiate risk remediation plans with stakeholders
• Establish and maintain effective communication channels with stakeholders in the Front Office, Operations, and other Control Functions
• Collaborate with Compliance Advisory and Central Compliance to support the development of an annual, risk-based Testing Plan
• Contribute to the reporting for required Annual Compliance filings including, but not limited to, the firm’s BDs, FCMs, SEFs and other regulated entities
• Support the continuous enhancement of the Testing Program by identifying and implementing improvements
• Assist the Management Team with other projects, as necessary

The successful candidate will possess demonstrated experience a majority of the following qualifications:

• Internal Audit, a Controls Testing team, or relevant management consulting projects that involved the assessment of design and operating effectiveness controls or process outcomes related to financial and securities-related laws, rules, and regulations
• Working knowledge or understanding of the products and services offered by a Broker-Dealer including the processes (e.g., trade life cycle), people, and functions that deliver or support the relevant products and services
• Thoroughly gathers information from various sources including walkthroughs, interviews, internal policies and procedures, or securities laws, rules, and/or regulations (e.g., CFTC, SEC, FINRA, and NFA rules)
• Comparing, matching, and/or analyzing various data sources with Microsoft Excel to identify relationships, root causes, summarize historical data, or report on risk to the firm
• Evaluates sources and documentation objectively, showing attention to detail, and with good business judgment, to form clear, informed opinions and make sound decisions based on a review of the firm’s processes and/or controls
• Articulates information with clarity, confidence, and conciseness in presentations and meetings with stakeholders, including comfort in checking and challenging the fact patterns, risks, and impacts that result from the evaluation or analysis of the firm’s processes and/or controls
• Drafts written findings, reports and communications that are both clear and…