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