Sign in

Senior Compliance Consultant

AthenPollo LLC
St. Louis, Missouri, United States
July 13, 2018

AthenPollo is looking for a Senior Compliance Consultant to support a leading financial banking client. This is a Full Time position based in St Louis, MO. Security, Satisfaction and Happiness, come along with a handsome package!

Job Description and Responsibilities:

Responsible for performing risk-based compliance control testing to assure compliance with regulatory requirements and corporate policies applicable to brokerage. These responsibilities will include the creating and execution of test plans in adherence with the Enterprise Testing and Validation Standards and will include usage of the Client’s system. Works with assigned business units to provide internal control and compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in business activities as well as developing corrective action plans for deficiencies. Report findings and draft recommendations to compliance risk and business line management. Coordinate/leverage certain responsibilities and best practices with other brokerage departments (i.e. Internal Controls, Operational Risk) as well as other WIM compliance programs (i.e. Wealth, Retirement, etc.). Produce periodic compliance performance reports (i.e. CAR Reports) for senior management.

You’re responsible for developing a common methodology and standards, providing governance and oversight, executing testing and conducting horizontal reviews. Testing and validation teams throughout corporate risk will be responsible for implementing the Enterprise Testing methodology and standards, and executing group-specific testing.

Required Skills:

5+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both

2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience or a BS/BA degree or higher in business or a related field.

A BS/BA degree or higher in accounting, finance, or economics

2+ years of audit experience

Experience creating, executing, and documenting compliance testing

Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

Preferred Certified Internal Auditor (CIA)

Preferred Chartered Financial Analyst (CFA) or Certified Public Accountant (CPA)

Ability to interact with all levels of an organization

Excellent verbal, written, and interpersonal communication skills

Intermediate Microsoft Office skills

Strong analytical skills with high attention to detail and accuracy

Nice to have Skills:

Prefer prior exposure to compliance and regulatory controls in a financial services environment.

Strong critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas.

Contact: Syed Irfan

Cell: 616-855-1605

Email: Syed.Irfan(AT)

I appreciate if you forward your resume in word format for review before we speak.

About Us:

AthenPollo is a fast growing and dynamic organization providing IT consulting and staffing services for over 10 years and committed to becoming one of the nation’s premier IT companies. Our highly skilled and experienced team strives to deliver the highest levels of service and value to our Customers and Consultants. Our client base is comprised primarily of Fortune 100 companies and Big 4 implementation partners.