Compliance Testing Associate

The Role:

The Compliance Testing Officer will be responsible for directly supporting the Senior Director of Compliance Testing in the development, execution and continued improvement of the firmwide Compliance Testing program.

• 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

• 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
• Bachelor’s degree (required)
• 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
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