Jobs

As a Compliance Testing and Monitoring Specialist, you will ensure operational excellence and regulatory compliance by evaluating internal controls and systems. This role involves designing and executing comprehensive tests, managing data validations, and collaborating cross-functionally to resolve issues. The ideal candidate will have a Bachelor's degree, 3+ years of experience in audit, risk, compliance, or QA, and hold FINRA SIE and Series 7 licenses, with Series 24 required within 120 days. You will be crucial in upholding strict industry regulations and maintaining high standards of quality across the organization.