Compliance Testing Analyst

One of Insight Global's top clients within the Investment Banking Industry is seeking a Compliance Testing Analyst to sit 5 days a week onsite in NYC. This person will sit within the compliance team, contributing to the overall regulations and adherence to firm policies. This team is reponsible for collaborating with compliance and business management to improve processes, proposing and executing testing methods, gathering data, analyzing results, and documenting findings.

The compliance testing 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. The candidate should be comfortable managing multiple projects and interacting with senior business stakeholders 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.

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Required Skills & Experience
- 2+ years of experience within compliance testing
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator

Proficient within Excel - pivot tables, v lookups, etc
- 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

Nice to Have Skills & Experience
- 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 1st 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.