Responsible for conducting branch inspections for the U.S. Branch Inspections Program, a critical program element of the U.S. Regulatory Compliance Management framework for CUSO/IHC; Responsible for producing quality final inspection reports and work-papers that thoroughly document reviews; and Responsible for issue reporting and validation.
- Provides ideas for the enhancement of the Program by leveraging Compliance Advisory, monitoring plan, testing plan, and industry research
- Assisting with the execution of the CUSO Broker/Dealer Branch Inspection Program, in accordance with FINRA Rules 3110, 3120, MSRB Rule G-27, and NFA Compliance Rule 2-9, by conducting branch inspections resulting in detailed written reports documenting inspection findings
- Responsible for escalating high risk issues found to senior management
- Responsible for entry of reviews and workpapers to TeamMate, and ancillary TeamMate tasks which may arise, for the purposes of completing plan execution
- Responsible for assessing issues and advising on ratings, root causes, etc.
- Responsible for issue entry to CALMA and RegComp and oversight that corrective action has been satisfactorily remediated
- Knowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations.
- Excellent organizational skills
- Excellent collaboration and team-building skills
Excellent communication and presentations skills
Qualification & Experience:
- Experience with operating in a highly matrixed environment.
- 5 – 7 years’ experience in the financial services industry in Compliance testing, branch inspection, surveillance or Internal
Vacancy Type: Full Time
Job Location: St. Paul, MN, US
Application Deadline: N/A
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