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4w PTO

  • Assess compliance risks and controls through monitoring and testing.
  • Prepare and communicate compliance testing results to Compliance Management, Business Units, and Management Committees.
  • Collaborate with Compliance and Line of Business management to develop corrective action plans to remediate compliance findings.

Compliance Auditing Risk Management Communication

20 jobs similar to Compliance Monitoring and Testing Specialist

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Document and communicate audit findings to management and recommend corrective actions to improve compliance. Provide staff education on privacy standards, compliance policies, and regulatory requirements. Review, investigate, and respond to facility inspections and/or deficiencies issued by regulatory agencies.

SimonMed Imaging is the fastest growing outpatient radiology practice in the Nation and is committed to excellence and improving patient care.

  • Assist in the execution of the Broker Dealer compliance and risk assessment programs.
  • Oversee and update the written supervisory procedures, surveillance program, testing programs, and the employee education programs.
  • Support HR and other business departments by onboarding new hires and ensuring that questionnaires and attestations are obtained in a reasonable time frame.

Kraken is a mission-focused company rooted in crypto values that aims to accelerate the global adoption of crypto so that everyone can achieve financial freedom.

  • Oversee and manage all aspects of regulatory compliance within our organization.
  • Develop and implement compliance policies and procedures, conduct audits and assessments, provide guidance to employees, and serve as a liaison with regulatory agencies.
  • Ensure that our company operates in accordance with all relevant laws, regulations, and industry standards.

Truelogic is a leading provider of nearshore staff augmentation services headquartered in New York. Their team of 600+ highly skilled tech professionals, based in Latin America, drives digital disruption by partnering with U.S. companies on their most impactful projects.

US

  • Ensure robust compliance across our global operations.
  • Manage all aspects of regulatory reporting, ensuring accurate and timely submissions across a broad range of regulations.
  • Lead effective exam management, handling regulatory requests and coordinating internal stakeholders across diverse jurisdictions.

Anchorage Digital is a crypto platform that enables institutions to participate in digital assets through custody, staking, trading, governance and the industry's security.

$100,649–$174,459/yr
US 4w PTO

  • Provide guidance to teams on the application of compliance requirements.
  • Maintain subject matter expertise on U.S. federal and state consumer protection and privacy laws and regulations.
  • Conduct and document assessments of compliance and privacy risks and controls for targeted processes, products and regulatory changes.

Experian is a global data and technology company, powering opportunities for people and businesses around the world. As a FTSE 100 Index company listed on the London Stock Exchange (EXPN), they have a team of 22,500 people across 32 countries.

$124,400–$207,300/yr
US

  • Designs and implements governance structure and strategic vision for interdependent elements of the compliance program.
  • Oversees the development of tactical approaches to deliver compliance services to the organization.
  • Manages a team of employees by providing direction, leadership, and oversight to ensure proper execution and performance management.

Our employees are the heart and soul of our company, and every success we experience begins with them.

  • Reviews and approves marketing materials against work papers.
  • Establishes and maintains strong relationships with Partners through regular communication.
  • Conducts periodic reviews of Partners compliance to guidelines and rules.

Pathward is a financial empowerment company that works with innovators to increase financial availability, choice, and opportunity for all.

$164,282–$193,273/yr
US

  • Oversee and manage US-based compliance and risk programs.
  • Collaborate with internal departments and global compliance leadership.
  • Advise on regulatory and risk considerations for new product launches.

Jobgether is a platform that uses AI-powered matching to connect candidates with companies. They focus on ensuring applications are reviewed quickly, objectively, and fairly against the role's core requirements.

US

  • Continuously test adherence to internal policies, identifying control gaps.
  • Support the ongoing development of the internal controls program.
  • Leverage automation and technology to scale testing activities.

CloudWalk is building the future of payments with millions of happy customers. They are expanding their neural network and strengthening their governance and compliance environment, focusing on innovation and an AI-driven future.

Europe

  • Safeguard the Operator’s Licence to ensure full adherence to DVSA Earned Recognition standards.
  • Maintain driver and vehicle compliance, impacting the safety, reliability, and reputation of fleet operations.
  • Develop and maintain reports to provide insights into compliance performance and highlight potential risks.

Brakes, built on a passion for food and feeding the nation, is the UK’s largest foodservice supplier delivering food and ingredients across the country.

$48,000–$52,000/yr

Oversee vendor onboarding and offboarding activities. Ensure compliance with regulatory standards. Support the organization’s overall risk management framework.

Longbridge Financial has launched HELOC For Seniors® — a first-of-its-kind home equity line of credit (HELOC) designed for homeowners 62+.

Philippines

  • Perform and oversee SOX compliance testing and collaborate with process owners to remediate control deficiencies.
  • Support complex internal audits, including risk assessments and fieldwork
  • Prepare clear and concise audit reports, summarizing findings, risks, and recommendations.

Xometry's digital marketplace gives manufacturers the critical resources they need to grow their business while also making it easy for buyers to tap into global capacity.

  • Perform internal audits to evaluate the effectiveness of internal controls and financial processes.
  • Prepare and analyze financial statements, reports, and other key financial documents.
  • Develop and implement risk assessment strategies to identify potential areas of concern.

Aldibel L.L.C is dedicated to , ensuring top-notch services and products that cater to the unique needs of our clientele.

$120,000–$140,000/yr
US

  • Interpret, operationalize, and maintain technical compliance requirements across all RSI jurisdictions.
  • Manage the training and development of Technical Compliance Analysts and Technical Compliance Coordinators.
  • Support all internal departmental needs for technical compliance guidance on issues, new features, changes, etc.

Rush Street Interactive is a market leader in online casino and sports betting. They are building bridges between online, social and land-based gaming businesses to create amazing, integrated experiences.

Lead audit response and sustainment support, including preparing documentation and coordinating with independent auditors. Develop, review, and update standard operating procedures and process narratives. Perform detailed analysis of accounting transactions, financial reconciliations, and variances.

Significance is a woman-owned consulting firm serving the federal government providing innovative solutions with a focus on culture.

Europe

As Legal Counsel, you will shape the regulatory and compliance framework. You'll work at the intersection of law, technology, and entrepreneurship. You will support a dynamic ecosystem where progress is driven by those who dare.

Critical Ventures backs those who build—not just founders seeking exits, but visionaries who see the world as it could be and act without waiting for permission.

  • Manage, support & provide expertise within EagleBank to ensure adherence to State & Federal regulatory compliance for the Bank Secrecy Act, USA PATRIOT Act & OFAC.
  • Perform reviews & assessments on high-risk customer types, monthly reviews of the Health Mission transaction activity, support the Bank’s Customer Identification Program & Customer Due Diligence requirements.
  • Investigate suspicious activity and Provide supervisory oversight of the work performed by AML/BSA Analyst(s) and Compliance Assistant.

EagleBank is focused on being Flexible, Involved, Responsive, Strong, and Trusted. They prioritize meaningful connections with their customers, employees, and shareholders, relentlessly delivering valuable service. EagleBank is committed to inclusion, equity, and respect, celebrating diversity and prioritizing employee growth and wellbeing.

  • Conduct compliance risk assessments for new and evolving products.
  • Collaborate with Product, Legal, and Engineering to implement controls.
  • Monitor emerging regulations impacting digital assets to ensure proactive readiness.

Kraken is a mission-focused company rooted in crypto values, aiming to accelerate the global adoption of crypto for financial freedom and inclusion.

LATAM

  • Implement and maintain robust compliance policies, procedures, controls, and frameworks across LATAM.
  • Supervise compliance reviews, investigations, and suspicious activities in the region.
  • Collaborate as an operational point of contact for local regulators and auditors, ensuring effective coordination and timely response to request.

OKX began as a crypto exchange giving millions of people access to crypto trading and over time becoming among the largest platforms in the world.

US

  • Responsible for leading the strategic direction, management, and oversight of the organization’s regulatory compliance program.
  • Manage a team of compliance professionals, ensuring that the company operates in full adherence to applicable laws, regulations, and industry standards.
  • Drive the development and implementation of enterprise-wide compliance frameworks, oversee risk assessments, support regulatory interactions, and champion a culture of compliance across the organization.

Truelogic is a leading provider of nearshore staff augmentation services headquartered in New York. Their team of 600+ highly skilled tech professionals, based in Latin America, drives digital disruption by partnering with U.S. companies on their most impactful projects.