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Compliance Consultant

Compliance Consultant

GSPANN

4 - 8 years

7 - 16 Lacs

gurugram

Posted:7 hours ago| Platform:

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Skills Required

kyc testing compliance testing licensing reviews form adv reviews u5 filing testing

Work Mode

Remote

Job Type

Full Time

Job Description

Role: Compliance Consultant

Exp- 5+ Years

Compliance Testing of various areas, including:
• KYC Testing • Branch office inspections • System access reviews • Privacy notice testing • Form BD review • 5123 Filing reviews • Licensing reviews • Reg BI testing • Form ADV reviews • CSA Reviews • U5 filing testing
Developing and performing new testing modules
Tracking remedial actions to conclusion
Supporting exams through provision of workpapers

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