Compliance Testing - Associate

Investment bank located in Jacksonville, Florida looking to bring on board an “Compliance Testing - Associate” to join their team. The firm is currently in a hybrid model (2 days in office).

Responsibilities:

• Conduct and/or support compliance reviews under the direction of the Americas Head of Compliance Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements applicable to products and services in the Americas

• Assist in the developing of testing modules and conduct testing across all Americas business activities to evaluate adherence to regulatory requirements and compliance risks

• Maintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the region

• Identify Compliance risks inherent in a business or process and assess whether a control framework is in place to manage these risks or whether any existing control framework adequately manages the risks

• Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period

• Some travel may be required