What are the responsibilities and job description for the Lead Compliance Audit Specialist position at Empower Retirement?
A company is looking for a Lead Compliance Audit Specialist to conduct audits and assist with compliance risk assessments.Key ResponsibilitiesAssist with the completion of annual compliance risk assessmentsConduct compliance audits with guidance from experienced peers and managementDocument testing completed and draft audit reportsRequired Qualifications5 years of related work experience in Corporate, Investment Advisor, or Broker-Dealer complianceExperience with testing FINRA and / or SEC regulationsExperience in conducting and / or completing compliance risk assessmentsBachelor's degree or equivalent work experienceFINRA fingerprinting required
