Compliance Testing (SIT, SEC, FINRA) - Max $59/hr W2 Job at Lenmar Consulting Inc., Jersey City, NJ

UWNGTWo0dk10OFBtNWVLVTdrZ1ZwbTVSY1E9PQ==
  • Lenmar Consulting Inc.
  • Jersey City, NJ

Job Description

Job Description

Job Description

Company Description

Finance

Job Description

Minimum Required Qualifications:

  • The desired skills for this position include:
  • Strong testing, audit and/or regulatory experience of regulatory requirements, processes and controls.
  • Strong knowledge of U.S. securities, commodities, and banking regulations, including the rules and regulations of the SEC (i.e., SEC Rule 15c3-5, SEC Rule 15a-6), CFTC and all exchanges and associations under such federal agencies, including FINRA, NYSE, CBOE, ISE, CME, NYMEX and ICE US.
  • Such knowledge should also include Federal Reserve Board regulations, Volcker, CFTC, Swap Dealer, and SEC Swap Dealer requirements.
  • Strong industry knowledge and working knowledge of the financial services focused on broker-dealer, futures and banking activities.
  • Strong ability to apply knowledge of rules and regulations to numerous types of trading and banking activities and operational arrangements in addition to interpreting the effect of new regulations on these activities.
  • Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
  • Excellent writing skills summarizing regulatory requirements, testing performed, results, findings and recommendations.
  • Excellent execution skills with the ability to work successfully under demanding deadlines within a change management environment, manage multiple compliance reviews/projects/tasks at the same time, and meet deadlines.
  • Strong analytical and investigative skills.
  • Problem solving and root cause identification skills.
  • Acute business acumen and understanding of organizational issues and challenges.
  • Strong organizational and project management skills, and attention to detail.
  • Demonstrate and influence others with a positive attitude in the workplace and the ability to accept accountability.
  • Strong computer skills including MS Office Suite, PowerBI, and Sharepoint administration.
  • Eight to twelve years of experience with a financial services firm and/or self-regulatory organization in a Compliance Testing, Internal Audit or regulatory related position.
  • BA or BS Degree a must.
Additional Information

All your information will be kept confidential according to EEO guidelines.

Job Tags

Similar Jobs

WayMaker inc.

Cell Phone Repair Technician & Sales Job at WayMaker inc.

 ...is seeking to hire a full-time Retail Sales Associate / Device Repair Technician to provide top-notch customer service while making sales...  ...recommend the right battery for the application whether its a cell phone, truck, or recreational vehicle. You also answer inbound phone... 

Greenway Spring Green

Certified Nursing Assistant Student Job at Greenway Spring Green

 ...Manor offers a great training program multiple times a year! Sign up now to be added to the list of upcoming courses!Join the Greenway team prior to, or while in training to qualify for our paid training or tuition reimbursement programs! Contact Megan Nachreiner at ...... 

NHC

Registered Nurse, RN Job at NHC

 ...Dental, Vision); health savings account ~ Earned Time Off ~401 (K) plan with company match ~ Paid Training ~ Mileage Reimbursement ~ Tuition Reimbursement ~ Flexible Scheduling ~ Career Advancement Opportunities Responsibilities Assess, monitor, and... 

Firman Solutions

Chief Financial Officer (Madison) Job at Firman Solutions

 ...CFO Requirements: Bachelors degree in Accounting or business-related field with major in Accounting. Minimum 3 years successful CFO experience in a healthcare setting desired. Previous Behavioral healthcare experience highly preferred. Previous experience with... 

Pathways

Siding Installer Minneapolis Job at Pathways

 ...and many ongoing projects all year around.Job SummaryIdeal Siding Minneapolis is looking for experienced siding crews to join our...  ...the jobValid driver's licenseExperience with siding installationCompany OverviewFounded with a vision to make siding installation...