- Draft policies and playbooks documenting internal controls and requirements for data access, system permissions, information barriers, data retention, vendor oversight, etc.
- Collaborate with other compliance team members to research regulations and translate requirements into practical, risk-based controls.
- Perform periodic control testing through review of permissions, system logs, sample testing, and other methods. Analyze results, identify gaps, and develop remediation plans.
- Clearly document and report the status of key controls to leadership.
- Partner with cross-functional teams including Legal, Product, Technology, and Business to provide subject matter expertise and advise on control design.
- Partner with VP to design testing program and perform testing to ensure ongoing compliance control effectiveness and identify opportunities for enhancement.
- 5+ years in compliance, internal audit, risk management or related field
- Adept at problem solving; dedicated to continuous improvement
- Strong understanding of applicable regulations (GLBA, SOX, etc.)
- Established working knowledge of internal control concepts and testing methodology
- Prior experience in data/information services or financial sector (Compliance, Control Room)
- Exposure to tech/software industry and Agile development environment
- Credentials such as CPA, CIA is a plus
Senior Compliance Specialist - New York, United States - Reorg
Description
A market leader in credit intelligence, Reorg brings together journalists, financial analysts, legal analysts, technologists, and data scientists to collect and synthesize highly complex information into actionable intelligence.
Since 2013, tens of thousands of professionals across hedge funds, investment banks, management consulting, and law firm verticals have come to rely on Reorg to make better, faster, and more confident decisions in pace with the fast-moving credit markets.
For more information, visit:
Working at Reorg
Consistent with our growth, Reorg hires innovators and trailblazers across the globe to drive our business and our incredible corporate culture alike.
Our core values - Action Oriented, Customer First Mindset, Effective Team Players, and Driven to Excel - define an organizational ethos that's as high-performing as it is human.
Among other perks, Reorg employees enjoy competitive health benefits, matched 401k and pension plans, Paid time off, generous parental leave, gym subsidies, educational reimbursements for career development, recognition programs, pet-friendly offices, and much more.
The Role
The Senior Compliance Specialist - Controls & Testing will develop, implement, and maintain compliance controls policies and procedures to ensure adherence to regulatory requirements and mitigate risk across Reorg's products, services, and business practices.
The Senior Compliance Specialist will possess excellent stakeholder management skills and will think strategically to continuously improve our compliance processes.
Responsibilities
At Reorg, we consider a range of factors in connection with compensation decisions, including experience, skills, location, and our business needs and limitations.
Please note that the salary range information below is a good faith estimate for this position and actual compensation for any individual may fall outside this range if warranted by the circumstances applicable to that individual.
If we identify a role that would be suitable for a broader range of skills and experience such that we would consider hiring at multiple levels then the range listed below may reflect that breadth.
The salary range estimate for this position is $95,000 - $120,000.
The actual compensation will be at Reorg's sole discretion and will be determined by the aforementioned and other relevant factors.
Reorg provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics.
In addition to federal law requirements, Reorg complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities.
This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.