JM Family
Deerfield Beach, FL
Compliance Auditor The Compliance Auditor provides independent and objective assurance services to determine the design and operating effectiveness of key controls and validation of compliance with SETF policies and procedures, federal and state regulations, and other client, regulatory, or legal guidelines relevant to our core business. The Compliance Auditor will work closely with operational teams and senior management in the review and testing of compliance controls. Responsibilities Analyzing potential risks within specific areas of the company to avoid compliance issues Inspecting and validating control enhancements and process changes implemented to mitigate risk. Conducting ongoing testing of internal processes as assigned by the Compliance Manager or Chief Compliance Officer to ensure compliance with policies and procedures Maintaining a high level of independence to be able to assure the effectiveness of internal controls, business processes, policies,...