Job Details
The Assistant Director (focusing on Forensic Testing) will be working for a well-known global bespoke provider of research and financial services based in New York OR Salt Lake City.
PLEASE NOTE THAT THIS POSITION WILL REQUIRE 5 DAYS OFFICE ATTENDANCE.
This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting risk assessments, deep-dive analysis, and fraud investigations. The core function of the team will include gathering data, performing analysis, documenting results, develop workplans and escalating to line compliance coverage.
My client is looking for the following:
Experience:
-8-10 years of experience in financial industry with strong expertise in internal audit/compliance such as those focusing on risk assessments
-Understanding of financial markets and financial instruments, including awareness of securities trading or trade life cycle.
Qualifications:
-Bachelor s degree required: preferably in Accounting, Finance, Law, Business Management or a related field
-Strong understanding of regulatory landscape in the U.S, U.K or APAC.
-In depth understanding of financial services industry predominantly asset/wealth management firms, investment banks, private equity firms and broker/dealers.
-Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.
-Good understanding of regulatory bodies and regional regulators e.g., FINRA, SEC, FCA, SFC, MAS, etc.
-Practical knowledge on testing/investigations and audit methodology.
CV's will only be accepted in English.