An Investment Bank is looking for a Compliance Examiner. Responsibilities include:
Branch / Desk Reviews
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Design and develop compliance examination audit plans to cover the review of annual branch office inspections, as well as the examination of key business units.
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Manage performance of exams to ensure compliance with SRO rules, Firm Policy and recent regulatory developments or findings.
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Independently formulate the methodologies for testing key elements of the business conducted by the branch and business units.
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Communicate with key personnel to discuss business and regulatory concerns as well as to provide continuing education to reinforce Firm policy.
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Prepare examination report to present findings to the Supervisors and Senior Management.
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Formulate plans and determine necessary corrective action to take with the Supervisors in order to address any examination findings or material weakness identified.
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Supervisory and Internal Controls Examinations
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Perform an assessment of the overall adequacy of the Firm s supervisory and internal control systems (examinations focused on hot topics/issues noted throughout the year).
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Prepare examination plans to identify supervisory/internal control issues to review and the methodology to perform such testing.
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Identify improvements to processes and procedures to senior management and assist in correction of issues identified.
