Find Jobs
Find Jobs Near You – Available Work in Your Location
Broker-Dealer Compliance Testing
Career Insights for Compliance Officer / Analyst
See where this job fits in the broader career landscape. Knowing your career path helps you see what's possible from here.
Scorecard
Based on New Jersey data
Review key factors to help you decide if this role fits your goals. How is this calculated?
What they do
A Compliance Officer or Analyst monitors internal compliance with company policies and also company compliance with local, state and federal laws. Reviews company documents, including contracts and marketing materials; communicates with employees and develops training and internal policy materials.
$83,679 / year median in New Jersey
-3% projected decline
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.