Compliance Officer II - job 1 of 3

Job Summary

A company is looking for a Compliance Officer II - Testing & Analytics (Remote).

Key Responsibilities

• Execute end-to-end compliance testing, including planning, risk identification, and reporting findings
• Source, validate, and analyze data to identify discrepancies and risks
• Document and track compliance testing processes and maintain an audit trail

Required Qualifications

• Bachelor's Degree and 6 years of experience in Compliance, Legal, Audit, or Banking, or a High School Diploma/GED with 10 years of experience
• Familiarity with Controls and Risk Management Frameworks such as COSO and BASEL
• General knowledge of wealth management and relevant regulations for Large Financial Institutions
• In-depth knowledge of Fed and State regulatory requirements
• At least 3 years of financial services compliance monitoring, auditing, or risk management experience