Compliance Consultant

GSPANN; United States; Remote; USD 80,000 - 100,000; Full time

Job summary

A compliance consultancy is seeking a Compliance Consultant with over 5 years of experience in compliance testing. The role involves conducting compliance checks, developing testing modules, and providing essential documentation. Candidates should demonstrate a strong understanding of regulatory requirements, including KYC testing and privacy procedures. This position offers opportunities to contribute to critical compliance initiatives.

Qualifications

• 5+ years of experience in compliance testing.
• Strong understanding of KYC and regulatory requirements.

Responsibilities

• Conduct compliance testing in various areas.
• Develop new testing modules and track remediation actions.
• Provide workpapers for organizational examinations.

Job description

Overview

Role: Compliance Consultant

Experience: 5+ Years

Responsibilities

• Compliance testing of various areas, including:
  • KYC Testing
  • Branch office inspections
  • System access reviews
  • Privacy notice testing
  • Form BD review
  • 5123 Filing reviews
  • Licensing reviews
  • Reg BI testing
  • Form ADV reviews
  • CSA Reviews
  • U5 filing testing
• Developing and performing new testing modules
• Tracking remedial actions to conclusion
• Supporting exams through provision of workpapers