ISG Americas Compliance Testing, Director, Oversight, Monitoring and Testing
Core
Plan and execute in-depth compliance tests to review and assess the effectiveness of the Firm's policies and procedures, recommending corrective action plans for identified gaps.
Role type
Director, Compliance Testing and Oversight
Builds
Compliance testing programs and risk assessments for the Firm
Domain
Financial Services / Investment Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Risk-based testing, process walkthroughs, internal controls assessment, regulatory knowledge, report writing, corrective action planning, stakeholder coordination
Preferred skills
Testing/surveillance/auditing experience, audit experience in stock broking firms, CA/CIA certification, knowledge of global markets and regulations
Technologies
Microsoft Word, Excel, PowerPoint, Adobe, SharePoint, trade order management systems, portfolio accounting systems, pre/post trade surveillance systems
Responsibilities
Execute risk-based compliance testing and assess policy effectiveness; Develop and oversee substantive testing of control procedures; Prepare written reports on test results and corrective actions; Track status of corrective action plans; Review internal audit work-papers to leverage findings; Remain current on industry rules and regulations
Seniority
Director, strategic oversight and execution