Compliance Audit Specialist
Job Summary
A company is looking for a Compliance Audit Specialist to conduct compliance audits for its registered entities.
Key Responsibilities
- Conduct compliance audits with guidance from experienced peers
- Communicate with business unit personnel to understand processes and notify them of compliance deficiencies
- Document testing completed and draft audit reports
Required Qualifications and Education
- 3+ years of compliance experience
- Bachelor's degree or equivalent work experience
- FINRA fingerprinting required
- Previous experience with investment adviser, broker-dealer, or investment company compliance policies is highly desired
- Audit experience is a plus
Complete Job Description
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