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Author: Umsebenzi Remote JOBS
A company is looking for a Compliance Audit Specialist to conduct compliance audits for its registered entities.
Key Responsibilities
Conduct compliance audits with guidance from experienced peers
Communicate with business unit personnel to understand processes and notify them of compliance deficiencies
Document testing completed and draft audit reports
Required Qualifications and Education
3+ years of compliance experience
Bachelor’s degree or equivalent work experience
FINRA fingerprinting required
Previous experience with investment adviser, broker-dealer, or investment company compliance policies is highly desired
Audit experience is a plus
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