Compliance Independent Testing Manager
Company: Axelon Services Corporation
Location: Jersey City
Posted on: July 1, 2025
|
|
|
Job Description:
Job Title: Compliance Independent Testing Manager (Hybrid)
Location: Jersey City, NJ | Pay: 59/hr Responsibilities: Develop
compliance testing programs based on laws, regulations, risks, and
internal policies. Independently conduct compliance testing of
regulatory requirements, processes, policies, and controls. Test
key controls of the first and second lines of defense. Escalate
issues to CIT Manager / CIT Head for further investigation. Draft
and validate issues and recommendations with stakeholders. Draft
comprehensive reports on regulatory requirements, testing findings,
and recommendations. Ensure findings are tracked in the Reporting &
Issue Tracking Application. Report on activities and metrics
periodically. Conduct adhoc testing and assist with CEO/CCO
Certifications. Initiate projects to enhance CIT processes. Assist
in compliance matters during regulatory examinations. Achieve
objectives within strict time constraints. Minimum Required
Qualifications: Strong testing, audit, or regulatory experience.
Knowledge of U.S. securities, commodities, and banking regulations.
Familiarity with SEC, CFTC, Client, and other federal agency rules.
Industry knowledge in broker-dealer, futures, and banking
activities. Ability to apply regulations to trading and banking
activities. Excellent interpersonal and communication skills.
Strong writing skills for summarizing regulatory requirements and
findings. Ability to work under deadlines and manage multiple
tasks. Analytical and investigative skills. Problem-solving and
root cause identification abilities. Business acumen and
organizational understanding. Strong organizational and project
management skills. Proficiency in MS Office Suite, PowerBI, and
SharePoint. 8-12 years of experience in financial services or
regulatory roles. BA or BS Degree required. Preferred
Qualifications: Graduate Degree preferred. Professional
certifications or securities licenses (SIE, Series 3, 4, 7, 9 / 10,
24). Proficiency in Spanish or French a plus. Client Registrations
Required: SIE or equivalent (must be obtained within the first year
of employment). Series 7 (may be taken after the SIE).
Keywords: Axelon Services Corporation, New York , Compliance Independent Testing Manager, Accounting, Auditing , Jersey City, New York
