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Broker-Dealer Compliance Testing
Career Insights for Compliance Officer / Analyst
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Based on New Jersey data
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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 Jersey City, 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.