What are the responsibilities and job description for the Compliance Monitoring And Testing Associate position at Madison-Davis, LLC?
Asset management firm, looking to bring on board a Compliance Monitoring And Testing Associate” to join their team in Midtown, Manhattan. This firm is operating in a hybrid capacity (4 days in office).
Responsibilities:
-Assist in the development, implementation, execution, and reporting of the firm’s compliance monitoring and testing program to support risk mitigation and ensure adherence to regulatory requirements, as well as internal policies and procedures.
-Collaborate with compliance partners to conduct risk assessments and targeted reviews of business activities.
-Perform inspections of branch offices.
-Evaluate the design of controls and test their effectiveness.
-Prepare reports highlighting issues and work with issue owners to identify solutions and ensure remediation.
-Contribute to surveillance enhancements and participate in strategic surveillance projects.
-Review, analyze, and investigate issues within the surveillance platform.
Salary : $100,000 - $115,000
