Test Engineer Entry Level Job at Procom
Compliance Manager – On behalf of our client, Procom Services is searching for a Compliance Manager to join their team for a 5-month contract opportunity in one of these locations: Chicago, IL, Westlake, TX, or Denver, CO.
Job Summary:
You'll be responsible for the testing/evaluation of broker-dealer requirements as well as branch responsibilities. Evaluations of risks and controls as they relate to various different regulators. Also responsible for creating test work, drafting reports, and sharing with testing leaders.
Job Details:
Required Skills/Experience:
Assignment Length:
5-month contract + possible extensions
Start Date:
ASAP
**Please note we are unable to work with candidates on H1B Visas or candidates represented by third parties. No Corp to Corp.
Job Summary:
You'll be responsible for the testing/evaluation of broker-dealer requirements as well as branch responsibilities. Evaluations of risks and controls as they relate to various different regulators. Also responsible for creating test work, drafting reports, and sharing with testing leaders.
Job Details:
- Draft testing scope and/or execute standardized testing program that includes applicable internal and regulatory requirements and adhere to established compliance testing policies & procedures;
- Conduct remote and virtual compliance testing and interviews of branch offices/personnel to evaluate the effectiveness of internal controls for compliance with applicable regulatory requirements and corporate policy;
- Complete assigned testing in accordance with the annual testing plan and adequately document the evaluation of the effectiveness of the internal controls;
- Confirm that compliance issues identified during testing are followed up on, and corrective action plans are properly executed to comply with corporate policy or applicable regulatory requirements;
- Socialize and report testing results while working to ensure timely completion, including the validation of all corrective actions;
- Maintain a strong working knowledge of SRO rules (e.g. FINRA), as well as federal and state regulations;
- Perform other duties and special projects, as may be assigned.
- Potential future travel opportunities after return to onsite testing.
Required Skills/Experience:
- At least 5 years of experience within financial services with a general understanding of financial holding companies, banks, broker-dealer, and investment advisory businesses, as well as testing standards/methodologies
- Understanding of FRB, SEC, FINRA, OCC, Privacy, and Anti-Money Laundering rules and regulations
- Familiarity with the execution of Second Line of Defense compliance testing including compliance risk management principles
- Ability to independently identify opportunities for improvement and enhance overall Compliance programs
- Sound judgment to influence a strong risk management culture across business practices
- Mastery of appropriate interpersonal styles and ability to communicate effectively, both orally and in writing, with all levels within the enterprise
- Strong time management, organization, and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
- Bachelor’s degree or equivalent experience
- Professional licensing and/or compliance certifications (e.g. FINRA Series 7, 66, Investment Adviser Representative, CRCP, and CAMS)
Assignment Length:
5-month contract + possible extensions
Start Date:
ASAP
**Please note we are unable to work with candidates on H1B Visas or candidates represented by third parties. No Corp to Corp.
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