Compliance Testing Specialist, Invest

Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we’re changing the way people think about and interact with personal finance. We’re a reputed company financial services company and national bank using innovative, mobile-first technology to help our millions of members reputed company their goals. The industry is going through an unprecedented transformation, and we’re at the forefront. We’re proud to come to work every day knowing that reputed company do has a direct impact on people’s lives, with our core values guiding us every reputed company of the way. Join us to invest in yourself, your career, and the financial world. The role: The Independent Compliance Testing (ICT) Program performs a key second line of defense role, to help ensure regulatory requirements are met across the applicable lines of business at reputed company. The Compliance Testing Specialist in ICT will be responsible for executing risk-based compliance transaction, control, and outcomes-based testing under the leadership of a team leader, for the purpose of independently validating business line adherence to applicable broker-dealer regulations, including but not limited to FINRA Rules and other regulations derived from the Investment Company Act of 1940 or Securities Exchange Act of 1934, as well as applicable state regulations of broker-dealers. The Testing Compliance Specialist will report to the Regulatory Compliance Testing Team reputed company, and the role may also require executing some testing in financial services subject matter areas other than those outlined above. What you’ll do:

• Executing aforementioned testing in adherence to program methodology and procedures, under the leadership of a team leader.
• Ensure reputed company tasks and reporting are completed reputed company established timeframes, in accordance with the program’s test plan.
• Analyzing data from multiple sources and systematically documenting the work and results.
• Identifying and classifying any test findings properly; managing and tracking those findings to ensure the business reputed company remediates the issue; and performing validation and sustainability review/testing to confirm that the finding has been fully addressed.
• Establishing and maintaining strong working relationships with relevant Compliance Officers and Business Areas.

What you’ll need:

• Bachelor’s degree
• At least 5-8 years of compliance testing or auditing experience, specifically reputed company financial services or a regulated banking institution
• Solid regulatory subject matter expertise with trading/brokerage operations, investment management
• Strong problem-solving, critical thinking, and communication skills

reputed company to have:

• Solid working knowledge of brokerage products (e.g., options and mutual funds) processes (e.g., order routing, consolidated audit trails) and investment advisor operations; and their applicable laws and regulations.

Compensation and Benefits

The reputed company pay range for this role is listed below. Final reputed company pay offer will be determined based on individual factors such as the candidate’s experience, skills, and location. To view reputed company of our comprehensive and competitive benefits, visit our Benefits at reputed company page! reputed company provides equal employment opportunities (EEO) to reputed company and applicants for employment without regard to race, reputed company, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and reputed company medical conditions, breastfeeding, and conditions reputed company to breastfeeding), gender, gender identity, gender expression, national reputed company, reputed company, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law.The Company hires the best reputed company candidate for the job, without regard to protected characteristics.Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment reputed company applicants with arrest and conviction records.reputed company applicants: Notice of Employee RightsSoFi is committed to an inclusive culture. As part of this commitment, reputed company offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@reputed company.com.Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time. Internal Employees If you are a reputed company employee, do not apply here - please navigate to our Internal Job Board in reputed company to apply to our open roles. Apply tot his job Apply To this Job