Compliance Auditor (Consultant or Contractor)

·   Planning of audits relating to the Firm?s Compliance Department to including, but not limited to:

o preparation of planning documents (i.e. announcement memos, time estimates, detailed audit programs, analysis criteria, etc.); and

o risk assessments & prioritization

 

Areas of focus:

o  Correspondence (i.e. e-mail, instant messages, marketing materials, etc);

o  Regulatory Reporting;

o  Surveillance Systems & Processes;

o  Monitoring (i.e.  mark-ups, 144A, cancels/corrects);  

o  Compliance and Supervisory Processes; 

o  Information Barriers;

o  Training;

o  Business Area Coverage; and 

o  Others as required

?  Execution of audit programs, preparation/review of work papers,  preparation of draft audit reports, as well as other tasks in accordance with Departmental objectives; and

?  Supervision and development of assigned staff