Monitoring & Testing Associate

ABOUT THE ROLE

A leading financial services firm is seeking a Monitoring & Testing Associate to join its Compliance team. This role will focus on evaluating business activities and support functions to ensure compliance with applicable laws, regulations, and internal policies and procedures.

The ideal candidate will help strengthen the firm s compliance framework by supporting monitoring, testing, surveillance, and regulatory response efforts, while partnering closely with business and compliance stakeholders to identify and mitigate risk.

RESPONSIBILITIES

• Support the development, execution, and reporting of the compliance monitoring and testing program to help mitigate risk and promote adherence to regulatory requirements and internal policies
• Partner with compliance team members to perform risk assessments, targeted reviews of business activities, and branch office inspections
• Evaluate the desig...