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Job Description
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FINANCIAL AUDITOR $61K
Financial Auditor is responsible for performing financial and operational audits and Sarbanes-Oxley testing. Ensure that the financial facility is compliant with regulatory requirement, state and federal laws. Plan and implement an internal auditing program. Perform internal audits of all departments. Prepare and present reports of the finding to the supervisory staff and management. Maintain complete files documenting audit procedures used. Serve as a liaison between the examiners and outside auditors when needed.
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Desired Qualities
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- Undergraduate degree in Accounting or Finance
- 2 years of public accounting and/or private industry experience performing financial and operational audits.
- Sarbanes-Oxley experience required.
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Job Description
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COMPLIANCE OFFICER $58K
The regular Compliance Officer is responsible for the Compliance Department Administration. Acquire current copies of laws, regulations and official commentaries/interpretations. Assemble a compliance reference library. Maintain an awareness of legal and regulatory developments. Analyze the impact of regulations and litigation and communicate to senior management and the affected department. Develop plans for and coordinate implementation of changes by new or amended laws and regulations. Update compliance policies and procedures as necessary. Provide compliance training for personnel, and disseminate information regarding new or amended laws and regulations. Monitor the firm for compliance; prepare or review wide compliance reports; ensure that corrective action is taken as appropriate. Develop an ongoing centralized system for handling/monitoring customer complaints. Maintain statistics and incident files on customer complaints. Coordinate regulatory compliance examinations. Coordinate responses to compliance examination reports exceptions. Prepare position papers, testimony, and responses to inquires on specific subjects. Review the design, printing and distribution of required forms, notices and advertising.
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Desired Qualities
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- Bachelor’s degree in Business Administration or related sphere
- 4 years investment adviser or mutual fund compliance experience
- Must have and maintain current NCCO certification
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