Compliance Consultant

  • location: Charlotte, NC
  • type: Contract
  • salary: $27 - $32.50 per hour
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job description

Compliance Consultant

job summary:
Randstad has an excellent opportunity to work with a top tier bank in a fixed income and sales/trading environment.

  • Will be working in a fast paced heavy communication based environment with fixed income compliance focus.
  • Strong emphasis on knowledge of compliance regulations related to fixed income sales.
  • Series 7 and 24 preferred, but not needed.
  • Knowledge of Actimize, Zip Lip, and Office Suite software.
  • Individual will be working primarily surveillance and reviewing of transactional fixed income reports and understanding product knowledge of the trades taking place.
 
location: Charlotte, North Carolina
job type: Contract
salary: $27.00 - 32.50 per hour
work hours: 8 to 5
education: Bachelor's degree
experience: 5 Years
 
responsibilities:
  • Responsible for developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or may provide oversight to a compliance function.
  • Works with assigned business units and provides compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in all business activities.
  • Develops testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations.
  • Consults with business to develop corrective action plans and effectively manage change to ensure regulatory compliance.
  • Identifies training opportunities; may design/coordinate the development of training materials and delivers training.
  • Reports findings and drafts recommendations to compliance risk and business line management.
  • Coordinates production of periodic compliance performance reports for senior management, including trend analysis and recommended strategies.
  • Coordinates site, agency or other examinations conducted by external parties.
  • May manage project teams and provide guidance to less experienced specialists/consultants.
  • 6+ years compliance experience.
 
qualifications:
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skills: Compliance, Fixed Assets, Series 7, Series 24
Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

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