Senior Advisor – Compliance Testing and Internal Controls

Senior Advisor – Compliance Testing and Internal Controls

Requirements

• Knowledge of concepts, practices, and procedures of securities industry and/or banking compliance reviews.
• Understanding of risk management including internal control assessments.
• Knowledge of rules and regulations of the Securities Exchange Commission (SEC).
• Skill in integrating and aligning compliance processes and procedures with business processes.
• Ability to partner with other functional areas to accomplish objectives.
• Ability to interpret and apply securities and/or banking regulations and identify and recommend policy and procedural changes as appropriate.

Responsibilities

• Conducts risk-based compliance testing on at least two investment advisers.
• Leads meetings with key business stakeholders and documents processes and controls to mitigate compliance risks.
• Facilitates multiple test engagements from planning through final reporting.
• Identifies areas of risk such as issues and opportunities for improvement in the design and effectiveness of key controls.
• Reports test findings and utilizes judgement to provide an overall opinion on the control environment and communicate findings to management.
• Produces quality deliverables that meet both department and professional standards.
• Participates in business initiative and pro-actively advises and assists the business on change initiatives.
• Builds and maintains strong relationships with key business leaders.
• Stays up to date with evolving industry and regulatory changes impacting the business.
• Coaches and mentors less experienced Compliance associates.

Preferred Qualifications

• Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of experience in Compliance and/or the financial services industry preferred.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.