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, Vallejo , Compliance Testing Associate San Francisco, California, United States, Other , San Francisco, California
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