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JCW Group

Broker-Dealer Compliance Testing

Pay: Not specified

Posted: 1 week ago

Location: Hoboken, NJ (Onsite)

Last Updated: 1 day ago

Hours: Full-Time

Expires: 10/15/2026

Job Description

Broker-Dealer Compliance Testing at JCW Group Broker-Dealer Compliance Testing at JCW Group in Hoboken, New Jersey Posted in 3 days ago.

Type:

full-time A leading investment bank/broker-dealer is looking to hire a Compliance Testing professional. Reporting to an MD on their compliance team, this individual will assist in the development and execution of the firm's compliance testing program.

Day-to-day you will:

Assist with compliance testing responsibilities. Complete compliance risk assessments. Assess and improve internal controls. Assist with surveillance enhancements.

You should apply if you:

Have 2+ years of broker-dealer compliance experience Have experience with supervisory control testing.