Compliance Controls Specialist job at Complistaff in New York, NY

Compliance Controls Specialist

This global investment and technology firm is seeking a Compliance Controls Specialist to work with its Chief Compliance Officer and Compliance team. You will be asked to perform internal examinations and to implement and enhance compliance controls. Ideal prospects will have a solid knowledge of SEC, Finra, CFTC, and exchange rules. Also the Investment Advisors Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and Commodity Exchange Act. Please present with at least 3 years of relevant Audit, Examination, or Controls experience with a regulatory authority or in the regulatory compliance department of a financial services firm or accounting firm. Motivated self-starters capable of working both independently and part of a team will excel at this position. Please submit...

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from CompliStaff - 30+ days ago