Compliance Testing Associate San Francisco, California, United States

Company: Tbwa Chiat/Day Inc
Location: San Francisco
Posted on: October 8, 2024

Job Description:

At Forge (NYSE: FRGE), we know our team is our greatest asset. As technology innovators in the private market, our vision is to deliver a richer future for everyone. We live that vision through our values of being bold, humble and accountable.The Role:The Compliance Testing Associate will be responsible for directly supporting the Senior Director of Compliance Testing in the development, execution and continued improvement of the firm wide Compliance Testing program.This will be a hybrid role where you'll be onsite 1-3 days a week.Responsibilities:

• Perform risk-based testing activities that cover regulatory obligations for BSA/AML, FINRA, SEC and consumer protections compliance across the Forge organization.
• Follow established Policy and Procedures in the Compliance Testing life cycle of planning, execution, reporting and issue remediation and provide escalation as needed.
• Assist Senior Director of Testing in communicating with key stakeholders to obtain required support documentation and information to conduct assigned testing.
• Conduct root cause analysis for issues identified during testing engagements and effectively communicate the resulting remediation plans to stakeholders and management.
• Assist in the development and improvement of the compliance testing program through the updating of test steps and review procedures as needed.
• Stay current on regulatory developments and industry events to identify trends and emerging risks impacting Forge and the Compliance Testing program.
• Continuously add value through efficient execution and effective project management.
• Develop cohesive relationships with internal stakeholders.Qualifications:
  • 3+ years of broker-dealer experience.
  • Experience/background in audit, compliance/regulatory testing or consulting on internal controls ideally for a broker-dealer, investment advisor or trust company.
  • Working knowledge of laws, regulations and risk management practices for financial services.
  • Good written/verbal communication, critical thinking and problem-solving skills.
  • Understanding audit methodologies and compliance testing practices in the assessment of internal controls.
  • Series 7 and 24 registrations (preferred).
  • Experience with or previous exposure to financial services regulators (preferred).
  • Must be able to sit and/or stand in an office or remote setting for long periods of time while working.For residents of San Francisco/Bay Area, CA or New York, NY the annual salary range for this role is $85,000 - $95,000 + bonus. Final offers may vary from the amount listed based on geography, candidate experience and expertise, annual bonus, and other factors.Apply for this jobFirst Name *Last Name *Email *Phone *Resume/CV *Accepted file types: pdf, doc, docx, txt, rtfLinkedIn Profile *Please share your work authorization. *Please let us know the soonest date you can start. *This is a hybrid role based out of our SF, CA office. This role requires 1-3 days a week in office, are you okay with this? *
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Keywords: Tbwa Chiat/Day Inc, Santa Cruz , Compliance Testing Associate San Francisco, California, United States, Other , San Francisco, California