What are the responsibilities and job description for the Corporate Compliance Testing Consultant position at Madison-Davis, LLC?
Rate: $55-60/hour
- Conduct ongoing monitoring and testing to ensure the effective execution and sustainability of the New York Branch’s adherence to all regulatory requirements (excluding Financial Crimes Compliance) and escalate any issues of non-compliance
- Monitor and test regulatory and internal requirement-related controls in business-level procedures or policies and identifying control deficiencies
- Develop reports of regulatory and internal requirement control deficiencies including documentation of findings and tracking remediation objectives
- Ensure written monitoring and testing results are thoroughly documented, clearly understood, and escalated appropriately
- Participate in planning, execution, and reporting of compliance assurance reviews and compliance and regulatory issue validation
- Stay up to date on federal and state compliance updates and changes to regulations
- Support in development of formal Compliance monitoring and testing policies and procedures, workpapers, etc.
- Participate in meetings with business unit management to proactively identify emerging issues and discuss related or new regulatory requirements
- Work closely with other support units to help create and maintain best practices across the New York Branch
Salary : $55
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