OUR IMPACT

This is an exciting opportunity for an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to join the firm’s Compliance Testing Group to conduct detailed reviews covering the various firm businesses and divisions. In performing these reviews, the individual will use advanced testing techniques to check compliance with regulations and the firm’s policies, procedures, and compliance control infrastructure. This individual should be comfortable handling multiple projects and having daily interactions with senior members of the businesses and other Federation Divisions, including, among others, portfolio managers, private wealth managers, traders, sales employees, investment bankers, research analysts, and technologists.

YOUR IMPACT

The Compliance Testing Group has a global reach. It is comprised of experienced individuals with varying backgrounds and qualifications (including former traders, brokers, auditors, accountants, regulators, prosecutors, compliance professionals, lawyers, and product controllers), located in New York, Salt Lake City, Dallas, London, Warsaw, Singapore, Hong Kong, and Tokyo. The individual will work closely with Compliance and business management, and gain an excellent understanding of both the firm’s businesses and the rules and regulations under which the firm operates.

Responsibilities:

• Propose methods of testing and execute plans discussed and agreed with a team leader
• Gather data, perform analyses, and document results
• Identify potential compliance, conduct and reputational risks, and effectively escalate to appropriate individuals
• Multi-task – have the ability to work on several different reviews with different individuals at the same time
• Leverage strong communication skills to interact with Compliance and business senior management
• Work with stakeholders to implement action plans to mitigate and address compliance risks
• Meet tight deadlines

Basic Qualifications:

• Bachelor’s Degree
• Broad knowledge of financial products, markets, and FCA/ European laws and regulations.
• Excellent written English skills, with ability to describe complex issues in a clear and concise manner
• Excellent interview, presentation, communication, time management, and analytical skills
• Integrity, motivation, intellectual curiosity, and enthusiasm
• Knowledge of Microsoft Word and Excel

Preferred Qualifications:

• Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications)
• Compliance, auditing, testing, legal, or regulatory/law enforcement experience
• Significant experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting or Big 4 financial services advisory firm, or a national regulator