Capital Markets Regulatory Compliance Tester Max 58hr W2
Capital Markets Regulatory Compliance Tester Max 58hr W2
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Salary Not Disclosed
1 Vacancy
Job Description
Minimum Required Qualifications:
The desired skills for this position include:
- Strong testing audit and/or regulatory experience of regulatory requirements processes and controls.
- Strong knowledge of U.S. securities commodities and banking regulations including the rules and regulations of the SEC (i.e. SEC Rule 15c35 SEC Rule 15a6 CFTC and all exchanges and associations under such federal agencies including Client NYSE CBOE Client CME NYMEX and ICE US. Such knowledge should also include Client Board regulations Volcker CFTC Swap Dealer and SEC Swap Dealer requirements.
- Strong industry knowledge and working knowledge of the financial services focused on brokerdealer futures and banking activities.
- Strong ability to apply knowledge of rules and regulations to numerous types of trading and banking activities and operational arrangements in addition to interpreting the effect of new regulations on these activities.
- Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
- Excellent writing skills summarizing regulatory requirements testing performed results findings and recommendations.
- Excellent skills with the ability to work successfully under demanding deadlines within a change management environment manage multiple compliance reviews/projects/tasks at the same time and meet deadlines.
- Strong analytical and investigative skills.
- Problem solving and root cause identification skills.
- Acute business acumen and understanding of organizational issues and challenges.
- Strong organizational and project management skills and attention to detail.
- Demonstrate and influence others with a positive attitude in the workplace and the ability to accept accountability.
- Strong computer skills including MS Office Suite PowerBI and Sharepoint administration.
- Eight to twelve years of experience with a financial services firm and/or selfregulatory organization in a Compliance Testing Internal Audit or regulatory related position.
- BA or BS Degree a must.
Preferred Qualifications:
- Graduate Degree a plus.
- Professional Certification or Securities licenses preferred (SIE Series 3 4 7 9 / 10 24.
- Speaks and reads Spanish or French a plus.
Client Registrations Required:
- SIE or equivalent (must be obtained within the first year of employment)
- Series 7 (may be taken after the SIE)
Comments:
- Minimum 5 years of related work experience
- Audit and Compliance Testing Background
- Capital Markets Regulations
Additional Information :
All your information will be kept confidential according to EEO guidelines.
Remote Work :
No
Employment Type :
Contract
Employment Type
Contract
