Senior Compliance Consultant Risk & Testing Leader

Sammons Financial Group Companies; West Des Moines (IA); Vor Ort; USD 62.000 - 128.000; Vollzeit

Benefits dieser Stelle

Health coverage for you and family

ESOP (Employee Stock Ownership Plan)

401(k)

Friday afternoons off

Paid time off

Tuition reimbursement

Volunteer time off

Company-wide giving/matching program

Zusammenfassung

Sammons Financial Group is seeking an experienced Compliance Professional in West Des Moines, IA to conduct and enhance testing across investment adviser, broker-dealer, and registered investment company programs. You will independently plan risk-based reviews, evaluate controls, and drive remediation with business partners.

The role requires 7–10 years in compliance or related finance areas, strong knowledge of SEC/FINRA rules, and the ability to communicate findings clearly to stakeholders.

Qualifikationen

• Bachelor's degree in a related field preferred.
• Typically 7–10 years in compliance, risk management, regulatory affairs, or related finance role.
• Experience supporting investment advisers, broker-dealers, or registered investment companies.
• Strong knowledge of SEC/FINRA requirements applicable to these entities.

Aufgaben

• Develop and execute risk-based compliance testing and monitoring across advised activities.
• Independently plan testing engagements and document sampling, results, and conclusions.
• Assess design and effectiveness of policies, procedures, and internal controls.
• Support 38a-1 compliance programs and annual compliance reporting.
• Conduct broker-dealer testing related to supervisory controls and regulatory requirements.
• Analyze data to identify regulatory, compliance, or control concerns.
• Document testing methodology and findings clearly for leadership.
• Lead or contribute to risk assessments and remediation tracking.

Kenntnisse

Analytical thinking

Investigative skills

Organizational skills

Problem-solving skills

Written communication

Verbal communication

Presentation skills

Relationship-building

Ability to manage multiple reviews

Ausbildung

Bachelor's degree in business/finance/risk management/legal studies

Tools

Microsoft Office

Regulatory systems

Data analytics tools

Jobbeschreibung

Sammons Financial Group is seeking an experienced Compliance Professional in West Des Moines, IA to conduct and enhance testing across investment adviser, broker-dealer, and registered investment company programs. You will independently plan risk-based reviews, evaluate controls, and drive remediation with business partners.

The role requires 7–10 years in compliance or related finance areas, strong knowledge of SEC/FINRA rules, and the ability to communicate findings clearly to stakeholders.