Capital Markets Compliance & Risk Lead
Core
Lead SOX 404 and SOC 1/ISAE engagements, manage risk assessments, and implement financial regulations for capital markets and banking clients.
Role type
Manager, Capital Markets Compliance & Risk
Builds
Compliance reports, risk assessments, and control frameworks for financial institutions
Domain
Financial Services / Capital Markets / Banking
Deliverable
client delivery
Required skills
SOX 404, SOC 1, ISAE, financial regulations, Data Analytics (SQL, Excel, SAS), project management, client management, business writing
Preferred skills
Capital markets/banking business processes, Big 4 experience (via careerplan.io/jobs/F3-007-2C-B65-capital-markets-compliance-risk-lead)
Technologies
SQL, Excel, SAS
Responsibilities
Manage and lead SOX 404 engagements, Lead SOC 1 / ISAE engagements, Analyze and implement financial regulations, Integrate Data Analytics methodologies to identify anomalies
Seniority
Manager, hands-on IC
