Corporate Compliance amp Regulatory Consultant

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Corporate Compliance & Regulatory Consultant
The candidate will primarily support technology initiatives and will be heavily focused on documenting testing activities and outcomes. The ideal candidate will be expected to self-start and assume independent ownership of certain technology activities. Partner with Business Analysts to draft business requirements for supervisor review. Co-lead user acceptance and regression testing including but not limited to: script-writing, recording test outcomes, logging errors, pursuing closure on open items and retaining all supporting documentation in an organized and readily accessible manner. Review, prioritize, track and resolve open support cases. Coordinate the deployment of new builds, releases and fixes with supervisory oversight. Partner with the unit’s Quality Assurance resource located in Ireland to develop test plans and provide timely responses to business questions. Support internal and external data feeds including the addition of new files and standardizing data on existing files. Prepare presentations for senior management using Microsoft Powerpoint. Develop training materials related to enhancements. Conduct in-person training and group demonstrations as needed. Draft quarterly Compliance communications detailing existing system functionality and recommending more efficient means of identifying trends and themes. Support project planning activities including but not limited to: drafting and maintaining the project plan, recording decisions, tracking milestones and documenting dependencies. Finalize procedural documents, visual aids and workflows as needed. Author and update Standard Operating Procedures. Perform standard personal trading functions such as account updates, certification tracking, preclearance and restricted list updates. Participate in division code mapping activities that serve to assign monitoring classifications and requirements on a timelier basis. Document key decisions and supporting analysis on systems development. Maintain enhancement and issues log. Bachelor’s Degree or Higher level of education. Exceptional academic background (e.g. Business, Economics, Literature, Political Science, Engineering)are required. Deep understanding of insider trading and FINRA personal securities trading regulations required. FINRA series 7 preferred. 3-5 years compliance experience are required. Law degree or MBA is a plus.. Exceptional ability to issue-spot, recognize trends and conduct detailed investigative analysis. Knowledge of the securities industry and investments Strong interpersonal skills, ability to explain complex policies and procedures to employees at all levels. Candidate should be discreet, professional and be able to use sound judgment. Excellent oral and written communication skills. Highly motivated and have excellent time management and organizational skills. The candidate must be able to work on several high priority assignments simultaneously. Ability to effectively transition between individual contribution and team efforts as needed. Superior time management skills and attention to detail.

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