Compliance Specialist

Title: Compliance Testing SpecialistPosition Type: Contract on W2Location: Jersey City, NJ Hybrid.Minimum Required Qualifications:Strong testing, audit andor 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 15c3-5, SEC Rule 15a-6), CFTC and all exchanges and associations under such federal agencies, including FINRA, NYSE, CBOE, ISE, CME, NYMEX and ICE US. Such knowledge should also include Federal Reserve Board regulations, Volcker, CFTC Swap Dealer, and SEC Swap Dealer requirements.Strong industry knowledge and working knowledge of the financial services focused on broker-dealer, 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 writing skills summarizing regulatory requirements, testing performed, results, findings and recommendations.Strong computer skills including MS Office Suite, PowerBI, and Sharepoint administration.Eight to twelve years of experience with a financial services firm andor self-regulatory organization in a Compliance Testing, Internal Audit or regulatory related position.BA or BS Degree a must.

Created: 2024-10-27