Compliance Testing & Oversight Associate

A financial services firm is seeking a Compliance Monitoring & Testing Associate to join its compliance team. This position will help evaluate business and control functions for adherence to securities regulations, internal policies, and supervisory requirements.The role offers exposure to multiple areas of a broker-dealer, including investment banking, sales and trading, research, branch activities, and regulatory matters. The ideal candidate has prior compliance or regulatory experience and is comfortable analyzing controls, documenting findings, and working across multiple projects.Key Responsibilities• Perform compliance monitoring and testing across business and support functions to identify potential regulatory or control issues.• Evaluate the design of compliance controls and test whether those controls are operating effectively.• Document testing results and prepare clear reports outlining findings, observations, and areas requiring corrective action.• Work with business and compliance stakeholders to develop remediation plans and track identified issues through resolution.• Participate in compliance risk assessments and focused reviews of higher-risk business activities.• Assist with branch office reviews and related supervisory testing.• Conduct surveillance of trading activity, electronic communications, and other activity subject to compliance review.• Review potential surveillance exceptions and escalate matters requiring additional investigation.• Support regulatory examinations, inquiries, and investigations by gathering information, organizing documentation, and assisting with responses.• Monitor regulatory developments and help track implementation of changes to applicable rules, policies, procedures, and controls.• Maintain recurring compliance metrics and assist with reporting on trends, findings, and program effectiveness.• Organize and analyze compliance data to identify patterns and develop meaningful reporting.• Partner with other compliance professionals and business stakeholders on ongoing reviews and special projects.What We’re Looking For• 3–5+ years of relevant experience with a broker-dealer, financial services organization, regulatory agency, or similar regulated institution.• Familiarity with FINRA, SEC, and other requirements applicable to broker-dealers.• Exposure to regulatory requirements affecting investment banking, equity or fixed-income sales and trading, and/or research is preferred.• Hands-on experience performing compliance monitoring, testing, or similar control reviews.• Experience documenting testing results and preparing compliance reports or findings.• Working knowledge of compliance risk assessments and control testing methodologies.• Exposure to surveillance activities, including electronic communications and/or transaction reviews.• Ability to organize and analyze data and convert findings into useful compliance metrics and reporting.• Strong written and verbal communication skills with the ability to clearly document and explain findings.• Excellent attention to detail and commitment to producing accurate work.• Ability to manage multiple assignments and deadlines with limited supervision.• Comfortable working independently as well as collaboratively across compliance and business teams.• Strong analytical and problem-solving skills with a proactive approach to identifying potential issues.• Ability to learn quickly and adapt to changing regulatory requirements and business priorities.Qualifications• Bachelor’s degree required.• 3–5+ years of relevant compliance, regulatory, broker-dealer, or financial services experience.• Proficiency with Excel and PowerPoint.