California Licensed Compliance Analyst

A company is looking for a Fiduciary Compliance Testing Analyst to assist in compliance testing related to fiduciary activities.

Key Responsibilities

Develop and maintain rapport with business lines and stakeholders to support the Compliance Management Program

Plan, develop, and execute compliance testing, including control design and transactional testing

Lead meetings to discuss findings and draft reports on review results

Required Qualifications

Associate degree or equivalent in Accounting, Finance, or Business Administration with a strong emphasis in Accounting or Finance

Two years of compliance, audit, or quality control experience with a financial institution, consulting firm, or regulatory agency

Strong working knowledge of laws and regulations specific to fiduciary activities

Examination experience with a state or federal regulatory agency is a plus

Currently holding or actively pursuing Certified Fiduciary and Investment Risk Specialist (CFIRS) designation is preferred