Compliance Testing Analyst
: Job Details :

Insight Global is seeking a Compliance Testing Analyst for a major financial services client in NYC. The role requires a proactive, solution-oriented individual with a positive attitude. The key responsibilities include conducting detailed compliance testing to ensure adherence to regulations and firm policies, collaborating with compliance and business management to improve processes, proposing and executing testing methods, gathering data, analyzing results, and documenting findings. Additionally, the analyst will identify and escalate potential compliance, conduct, and reputational risks. The ideal candidate will have a background in audit, compliance testing, or regulatory work, and be passionate about investigative work with knowledge in wealth, asset, or portfolio management, and/or risk management. Experience in compliance, financial advising, sales, product controls, market risk, legal, or audit is also desirable. The candidate should be comfortable managing multiple projects and interacting with senior business members and engineers. This is a great opportunity for someone who enjoys investigative work and has a strong understanding of financial regulations and risk management. We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to ...@insightglobal.com . To learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy: . Required Skills & Experience •Bachelors Degree •1-2 years of industry experience •Broad knowledge of financial products, markets, and laws and regulations such as FINRA and SEC rules, and the Investment Company Act of 1940 •Strong interview, presentation, written and verbal communications, time management and analytical skills •Self-starter, enthusiastic, motivated, and solution oriented Question: Can you tell me about a time where you went above and beyond your scope of work to solve an issue? Nice to Have Skills & Experience Plusses: •Prior experience in compliance, product controllers, legal, regulatory, audit or risk management functionsasset or wealth management and/or global banking and markets businesses •Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator •Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications) Fluency in French, Spanish, German, Japanese, Korean, or Mandarin Chinese Benefit packages for this role will start on the 31st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.