Director, Oversight, Monitoring and Testing

This is a fully remote position, open to applicants in Illinois.

📋 Description

• Execute pre-examination testing by evaluating risk assessments, setting criteria for sample selection, testing chosen samples, and reviewing relevant documentation.

• Perform onsite inspections at retail branch offices.

• Analyze both electronic and physical reports and documentation.

• Conduct interviews with financial advisors, support personnel, and branch management.

• Assess testing outcomes and evaluate the adequacy and effectiveness of branch control environments.

• Facilitate meetings with branch management to share preliminary findings, identify root causes, and secure formal responses.

• Work closely with local management and key personnel to mitigate business risks and address policy violations.

• Formulate corrective action plans to ensure timely resolutions.

• Partner with branch examination management to evaluate adherence to regulatory requirements and Firm policies.

• Manage multiple examinations and projects simultaneously.

• Keep current with industry trends and regulatory updates.

⛳️ Requirements

• Familiarity with the financial services sector.

• Previous experience in examination or testing is advantageous.

• Capability to engage with diverse remote teams, branch staff, and management.

• Excellent communication, attention to detail, analytical, critical-thinking, and organizational skills.

• Objectivity and the ability to make independent decisions related to compliance testing procedures.

• Self-motivated, enthusiastic, and disciplined.

• High ethical standards, sound judgment, and integrity.

• Willingness to travel domestically approximately 30 to 40% of the time.

• Over 5 years of experience in the financial services industry.

• FINRA licenses are a bonus.

🏝️ Benefits

• A comprehensive array of employee benefits and perks.

• Support for employees and their families throughout their work-life journey.

• Opportunities for internal mobility within the organization.

• A commitment to equal opportunity and diversity and inclusion.