Director, Oversight, Monitoring and Testing

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🔥 0 minutes ago

🌽 Illinois – Remote

🌽 Illinois – Remote

⏰ Full Time

🔴 Lead

👔 Director

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Ms Ms

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

Founded 2022

📱 Media

👥 B2C

Media • B2C

Ms Ms is a consumer-focused company that appears to operate or present a social networking or online community interface. The provided text resembles a social media login page (similar to Facebook/Meta), indicating the company likely deals with user accounts, digital media, and consumer-facing online services such as messaging, social feeds, and related apps.

📋 Description

• Perform pre-exam testing by analyzing risk assessments, establishing sample selection criteria, testing selected samples, and reviewing documentation • Conduct onsite branch inspections across retail branch offices • Review electronic and physical reports and documents • Interview financial advisors, support staff, and branch management • Evaluate testing results and assess the adequacy and effectiveness of branch control environments • Hold meetings with branch management to discuss preliminary findings, identify root causes, and obtain formal responses • Collaborate with local management and key personnel to address business risks and policy violations • Develop corrective action plans to facilitate timely remediation • Collaborate with branch examination management to assess compliance with regulatory requirements and Firm policies • Oversee multiple examinations and projects concurrently • Maintain up-to-date knowledge of industry and regulatory changes

🎯 Requirements

• Knowledge of the financial services industry • Prior examination or testing experience is a plus • Ability to interact with diverse remote teams, branch staff, and management • Strong communication, detail-oriented, analytical, critical-thinking, and organizational skills • Objectivity and ability to make independent decisions associated with compliance testing procedures • Enthusiastic, disciplined, and self-motivated • Ethical standards, sound judgment, and integrity • Domestic travel approximately 30 to 40% required • 5+ years of financial services industry experience • FINRA licenses are a plus

🏖️ Benefits

• Comprehensive employee benefits and perks • Support for employees and their families at every point along their work-life journey • Opportunities for internal mobility across the business • Equal opportunity and commitment to diversity and inclusion