• Compliance Testing Analyst

    Insight Global (New York, NY)


    Job Description

    One of Insight Global’s top clients within the Investment Banking Industry is seeking a Compliance Testing Analyst to sit 5 days a week onsite in NYC. This person will sit within the compliance team, contributing to the overall regulations and adherence to firm policies. This team is reponsible for collaborating with compliance and business management to improve processes, proposing and executing testing methods, gathering data, analyzing results, and documenting findings. The compliance testing analyst will identify and escalate potential compliance, conduct, and reputational risks. The ideal candidate will have a background in audit, compliance testing, or regulatory work, and be passionate about investigative work with knowledge in wealth, asset, or portfolio management, and/or risk management. The candidate should be comfortable managing multiple projects and interacting with senior business stakeholders and engineers. This is a great opportunity for someone who enjoys investigative work and has a strong understanding of financial regulations and risk management.

     

    We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to [email protected] learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: https://insightglobal.com/workforce-privacy-policy/.

     

    Skills and Requirements

     

    - 2+ years of experience within compliance testing

     

    - Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulatorProficient within Excel - pivot tables, v lookups, etc

     

    - Broad knowledge of financial products, markets, and laws and regulations such as FINRA and SEC rules, and the Investment Company Act of 1940

     

    - Strong interview, presentation, written and verbal communications, time management and analytical skills - Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications)

     

    - Fluency in French, Spanish, German, Japanese, Korean, or Mandarin Chinese