Compliance Independent Testing Manager

Job Title : Compliance Independent Testing Manager (Hybrid)
Location : Jersey City, NJ

Responsibilities:

• Develop compliance testing programs based on laws, regulations, risks, and internal policies.
• Independently conduct compliance testing of regulatory requirements, processes, policies, and controls.
• Test key controls of the first and second lines of defense.
• Escalate issues to CIT Manager / CIT Head for further investigation.
• Draft and validate issues and recommendations with stakeholders.
• Draft comprehensive reports on regulatory requirements, testing findings, and recommendations.
• Ensure findings are tracked in the Reporting & Issue Tracking Application.
• Report on activities and metrics periodically.
• Conduct adhoc testing and assist with CEO/CCO Certifications.
• Initiate projects to enhance CIT processes.
• ssist in compliance matters during regulatory examinations.
• chieve objectives within strict time constraints.

Minimum Required Qualifications:

• Strong testing, audit, or regulatory experience.
• Knowledge of U.S. securities, commodities, and banking regulations.
• Familiarity with SEC, CFTC, Client, and other federal agency rules.
• Industry knowledge in broker-dealer, futures, and banking activities.
• bility to apply regulations to trading and banking activities.
• Excellent interpersonal and communication skills.
• Strong writing skills for summarizing regulatory requirements and findings.
• bility to work under deadlines and manage multiple tasks.
• nalytical and investigative skills.
• Problem-solving and root cause identification abilities.
• Business acumen and organizational understanding.
• Strong organizational and project management skills.
• Proficiency in MS Office Suite, PowerBI, and SharePoint.
• 8-12 years of experience in financial services or regulatory roles.
• BA or BS Degree required.

Preferred Qualifications:

• Graduate Degree preferred.
• Professional certifications or securities licenses (SIE, Series 3, 4, 7, 9 / 10, 24).
• Proficiency in Spanish or French a plus.

Client Registrations Required:

• SIE or equivalent (must be obtained within the first year of employment).
• Series 7 (may be taken after the SIE).