What are the responsibilities and job description for the Compliance Monitoring & Testing Associate position at Madison-Davis, LLC?
A private equity firm located in Midtown Manhattan looking to bring on board a “Compliance Monitoring & Testing Associate” to join their team. This role is currently in a hybrid schedule (3 days in office / week) and looking to pay 120-125K base plus 30-35% bonus.
Responsibilities:
• Assist with the development, implementation, execution and reporting of the Firm’s compliance monitoring and testing program to support risk mitigation efforts and adherence to regulatory requirements and internal policies and procedures
• Work with compliance partners to complete risk assessments, conduct targeted reviews of business activities and perform inspections of branch offices
• Assess the design of controls and test their effectiveness
• Prepare reports that identify issues and work with issue owners to identify solutions and ensure remediation
• Assist with surveillance enhancements and work on strategic surveillance projects
• Review, analyze and investigate issues within the surveillance platform
