Compliance Auditor for Accounting practice

Email this job



Blue Player Job OverviewCompany: Robert Half Finance & Accounting U.S.Location: US-NJ-ChesterBase Pay: $80,000 - $85,000 /YearEmployee Type: Full-TimeIndustry: Accounting - Finance
Banking - Financial ServicesManages Others: Not SpecifiedJob Type: Accounting
FinanceReq'd Education: 4 Year DegreeReq'd Experience: Not SpecifiedReq'd Travel: Not SpecifiedRelocation Covered: Not Specified Contact: RecruiterPhone: 732-634-7200Fax: 732-634-1574 Ref ID: 02720-116318 Job DescriptionClassification:  Audit Senior

Compensation:  $80,000.00 to $85,000.00 per year

Full-service Financial Planning, Tax, Accounting practice in Morris County, NJ has an excellent opportunity for a Compliance Auditor. The person will oversee all Financial Securities compliance operations to ensure that the Branch Office operates with full understanding of applicable laws and regulations. Some of the responsibilities will include:

Review laws and regulations that impact compliance requirements, with emphasis on Bank Secrecy Act, Patriot Action, and OFAC.
Perform the duties of the Branch BSA (Bank Secrecy Act)
Implement the Broker Dealer's policies, procedures, products, and programs to ensure compliance with applicable laws and regulations. Make recommendations for change where appropriate.
Assess risk potential of current procedures and institute new procedures that minimize loss exposure.
Ensure that any change in policy or procedure is communicated to impacted departments. Follow up to ensure new procedures are understood and implemented.
Develop and implement corrective action procedures as necessary to ensure compliance with policies and procedures and to avoid future compliance problems.
Develop or assist in the development of compliance training programs.
Assist compliance examiners with their examinations, making available the information that is necessary to complete their examinations.

This is an excellent chance for financial services professionals to work close to home in Morris County. This position will pay $80-$90k plus bonus and great growth potential

If you're interested, please e-mail David.

View the Original article