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    7 results for Compliance Testing Analyst in New York, NY

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    Our client, a highly recognized Broker-Dealer firm is currently seeking an Anti-Money Laundering (AML) Analyst to join their team. This is a dynamic opportunity to work at the intersection of investment banking and compliance.

     

    Responsibilities of this position will include:

    -         Conducting surveillance of securities transactions and client account reviews to identify suspicious activities and red flags.

    -         Collaborating with the Chief AML Officer and compliance team to identify and mitigate risks.

    -         Drafting Suspicious Activity Reports (SARs) and assisting with AML risk assessments.

    -         Collaborating with the Investment Banking team to address AML-related inquiries and perform client due diligence.

    -         Aiding Account Opening team to identify risk factors for new accounts.

    -         Partnering with Operations to maintain and test customer identification programs.

    -         Managing relationships with vendors to ensure client screening systems are operating effectively and data remains accurate.

    -         Performing compliance testing and work with internal teams to resolve issues.


    For immediate consideration please send you resume to Alex.Muzaurieta@roberthalf.

    -         Bachelor’s degree in Finance or related field

    -         3+ years of experience in AML compliance

    -         FINRA Licenses (SIE and Series 7) required

    -         MS Excel proficiency

    -         Excellent analytical and communication skills

    Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles. Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app and get 1-tap apply, notifications of AI-matched jobs, and much more. All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information. © 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use.

    7 results for Compliance Testing Analyst in New York, NY

    AML Analyst <p>Our client, a highly recognized Broker-Dealer firm is currently seeking an Anti-Money Laundering (AML) Analyst to join their team. This is a dynamic opportunity to work at the intersection of investment banking and compliance.</p><p> </p><p>Responsibilities of this position will include:</p><p>-         Conducting surveillance of securities transactions and client account reviews to identify suspicious activities and red flags.</p><p>-         Collaborating with the Chief AML Officer and compliance team to identify and mitigate risks.</p><p>-         Drafting Suspicious Activity Reports (SARs) and assisting with AML risk assessments.</p><p>-         Collaborating with the Investment Banking team to address AML-related inquiries and perform client due diligence.</p><p>-         Aiding Account Opening team to identify risk factors for new accounts.</p><p>-         Partnering with Operations to maintain and test customer identification programs.</p><p>-         Managing relationships with vendors to ensure client screening systems are operating effectively and data remains accurate.</p><p>-         Performing compliance testing and work with internal teams to resolve issues.</p><p><br></p><p>For immediate consideration please send you resume to Alex.Muzaurieta@roberthalf.</p> Quality Assurance Analyst <p>We are in need of a Quality Assurance Analyst to join our team in the insurance industry located in Central, New Jersey. As a Quality Assurance Analyst, you will play a crucial role in ensuring the integrity and quality of our systems and processes. This position involves leading quality assurance initiatives, designing and executing test cases, developing automated test scripts, and validating data accuracy.</p><p><br></p><p>Responsibilities:</p><p>• Lead quality assurance initiatives for Property & Casualty insurance projects, ensuring compliance with quality standards.</p><p>• Team up with cross-functional groups, including developers, business analysts, and product owners, to establish testing strategies.</p><p>• Design, document, and execute extensive test cases derived from business requirements and technical specifications.</p><p>• Keep detailed records of test cases, test outcomes, and defect tracking.</p><p>• Conduct hands-on tests, including functional, regression, integration, and user acceptance testing.</p><p>• Develop and maintain automated test scripts to enhance testing efficiency and coverage.</p><p>• Leverage coding skills to customize and enhance testing frameworks as necessary.</p><p>• Write and execute SQL queries to validate data integrity and accuracy.</p><p>• Analyze and troubleshoot data discrepancies between systems.</p> Senior Security Analyst <p><strong>Sr. Security Analyst:</strong></p><p>The Senior Security Analyst role is a vital position within our organization's cybersecurity team. This role is responsible for safeguarding our digital assets and ensuring the confidentiality, integrity, and availability of our information systems. The Senior Security Analyst will play a key role in identifying, analyzing, and responding to security incidents, as well as implementing security measures to prevent future incidents. The ideal candidate will possess a strong understanding of security principles, technologies, and best practices, as well as excellent analytical and problem-solving skills. This position requires a proactive and detail-oriented individual who can work independently and as part of a team. The Senior Security Analyst will collaborate with various departments to promote a security-aware culture and ensure compliance with security policies and standards. The successful candidate will have opportunities for professional growth and development and will contribute to the overall success of our organization's security program. Our security team is dedicated to remaining at the forefront of cutting-edge advancements and technologies to ensure maximum protection from modern security threats.</p><p><strong>Essential Functions </strong></p><p>Monitor, analyze, and respond to security incidents and alerts from EDR, ITDR, SIEM, and cloud security platforms.</p><p>Configure and manage security solutions, including Zscaler, CrowdStrike, Defender, and Proofpoint.</p><p>Support firewall and network security operations with Palo Alto and Cisco firewalls.</p><p>Lead security investigations, conduct root cause analysis, and document incident response actions.</p><p>Provide threat intelligence and recommend proactive security measures to mitigate risk.</p><p>Implement and maintain cloud security controls in Azure and GCP.</p><p>Optimize Zscaler cloud security solutions for web and network protection.</p><p>Configure email security solutions (Proofpoint) to prevent phishing and email-based attacks.</p><p>Administer MFA solution to enhance authentication security with tools such as Okta and Microsoft Authenticator.</p><p>Ensure Active Directory (AD) and IAM policies align with best practices.</p><p>Support identity governance, access reviews, and privileged access management (PAM).</p><p>Implement data classification policies and enforce data protection controls.</p><p>Conduct security assessments and ensure compliance with industry standards (PCI, NIST, CIS).</p><p><br></p><p><strong>Additional Functions </strong></p><p>Maintain and fine-tune security configurations across various security platforms.</p><p>Identify security gaps and recommend security enhancements and process improvements.</p><p>Develop playbooks and automation scripts to enhance security operations efficiency.</p><p>Conduct vulnerability assessments and penetration testing to identify security weaknesses in systems and applications.</p><p>Develop and implement security policies, procedures, and standards to ensure compliance with industry’s best practices and regulatory requirements.</p><p>Investigate security breaches and other security incidents to determine the root cause and implement corrective actions.</p><p>Provide security awareness training to employees to promote a security-conscious culture.</p><p>Stay up-to-date on the latest security threats and vulnerabilities and recommend appropriate security measures.</p><p><br></p> Compliance Manager <p>Our client, a well-established and highly successful Broker Dealer firm, is seeking a skilled Compliance Manager to join their team. This key role works to ensure the firm's adherence to SEC, FINRA, and Exchange regulations, while closely collaborating with trading, operations and risk teams.</p><p> </p><p><strong>Key Responsibilities:</strong></p><p>-         Overseeing Consolidated Audit Trail (CAT) compliance and ensure timely regulatory filings.</p><p>-         Testing order handling, execution, and trade reporting (Reg SHO, NMS, Rule 606).</p><p>-         Analyzing order routing disclosures (Rule 606) for regulatory compliance.</p><p>-         Responding to SEC, FINRA, and exchange regulatory inquiries and audits.</p><p>-         Maintaining and enhancing compliance policies, procedures, and testing programs.</p><p>-         Providing management with written reports on compliance risks and corrective actions.</p><p>-         Collaborating with trading, operations, risk, and legal teams to ensure effective compliance controls.</p><p>-         Driving efficiency improvements in compliance oversight and business processes.</p><p><br></p><p>For immediate consideration please send you resume to Alex.Muzaurieta@roberthalf.</p> Business Analyst <p>Responsibilities:</p><p>• Work closely with stakeholders to understand business needs and convert them into functional and non-functional requirements.</p><p>• Evaluate existing mortgage processes, pinpoint inefficiencies, and suggest improvements.</p><p>• Aid in the implementation and support of mortgage systems such as Loan Origination Systems (LOS) or Customer Relationship Management (CRM) tools.</p><p>• Carry out system testing, including User Acceptance Testing (UAT), and provide feedback to ensure solutions align with business requirements.</p><p>• Ensure business processes are in compliance with regulatory requirements like CFPB, RESPA, TILA.</p><p>• Serve as a bridge between business units, IT teams, and external vendors, facilitating clear and effective communication.</p><p>• Offer training and support to end-users on new systems or processes.</p><p>• Develop dashboards and reports to track key performance indicators (KPIs) for mortgage operations.</p><p>• Analyze data to spot trends and provide actionable insights.</p><p>• Identify and mitigate risks in mortgage workflows</p> Compliance Officer <p>Robert Half is seeking a <strong><u>Multilingual Project Manage</u></strong><u>r</u> responsible for overseeing the planning, execution, and delivery of complex artificial intelligence projects, ensuring they meet business objectives while adhering to timelines, budgets, and quality standards. </p><p> </p><p>Start Date: February 2025</p><p>Location: Hybrid (2-3 days in office in Ridgefield Park, NJ)</p><p>Salary: $150,000+ annually (negotiable based on experience)</p><p> </p><p><strong>Key Responsibilities:</strong></p><ol><li>Collaborate with stakeholders to define project goals, scope, and success metrics.</li><li>Develop comprehensive project plans, including timelines, milestones, resource allocation, and risk assessments.</li><li>Break down complex AI projects into manageable tasks and work packages.</li><li>Identify data requirements and ensure data quality for AI model training.</li><li>Assemble and lead cross-functional teams consisting of data scientists, machine learning engineers, software developers, and product managers.</li><li>Foster a collaborative environment, promoting effective communication and alignment across team members.</li><li>Delegate tasks and responsibilities based on team expertise and project needs.</li><li>Provide guidance and mentorship to team members on AI development best practices.</li><li>Proactively identify potential risks associated with AI projects, including data biases, ethical considerations, and regulatory compliance.</li><li>Develop mitigation strategies to address identified risks.</li><li>Monitor project progress and address any emerging issues promptly and effectively.</li><li>Regularly communicate project status updates to key stakeholders, including senior management, product teams, and clients.</li><li>Manage stakeholder expectations by providing clear and transparent information on project progress and potential challenges.</li><li>Facilitate decision-making processes and address stakeholder concerns.</li><li>Establish key performance indicators (KPIs) to measure project success.</li><li>Track project progress against KPIs and generate detailed reports for stakeholders.</li><li>Analyze project data to identify areas for continuous improvement.</li></ol><p> </p><p><strong>Required Skills & Qualifications:</strong></p><ul><li>Strong understanding of AI concepts, including machine learning algorithms, deep learning, natural language processing, and computer vision.</li><li>Education or experience in linguistics a plus! </li><li>Biligingual/Multilingual (Arabic, Chinese or Spanish preferred)</li><li>Proven experience in project management methodologies (Agile, Waterfall) with a successful track record of delivering complex AI projects.</li><li>Excellent communication and interpersonal skills to effectively collaborate with cross-functional teams and manage stakeholder expectations.</li><li>Ability to analyze data, identify trends, and make data-driven decisions.</li><li>Prior experience in managing data pipelines and data quality processes is a plus.</li><li>Relevant project management certifications (PMP, Agile) are beneficial</li></ul><p><br></p> Tax Compliance Manager <p>Top manufacturing company in Fairfield County has an immediate opening for a Tax Compliance Manager. The Tax Manager will be responsible for maintaining processes and procedures designed to ensure that the Company meets its US Federal Income Tax, State Income Tax and Franchise Tax obligations. You will be involved with all aspects of US income tax compliance activities including M-1 and tax return preparation, estimated tax payments, federal tax provision preparation and supporting federal audits.</p><p><strong> </strong></p><p><strong><u>Job Responsibilities:</u></strong></p><p><br></p><p>·      Responsible for managing the U.S. Federal income tax compliance reporting to ensure all reporting obligations are satisfied completely, accurately and timely.</p><p>·      Prepared the U.S. federal and state quarterly estimated and extension income tax computations along with the execution of the estimated tax payments and extension requests. </p><p>·      Manage all aspects of the State income tax compliance process ensuring adherence to deadlines, accuracy, and conformity with state regulations in order to reduce the Company’s overall tax burden and risk. </p><p>·      Manage the preparation and review of state income tax returns including the calculation of apportionment and state modifications. </p><p>·      Monitor state nexus and filings to ensure compliance with state tax laws and regulations, identifying any potential areas of risk or exposure. </p><p>·      Provide support in all aspects of the credits including Research & Development tax credit calculation including identifying, gathering and documenting.</p><p>·      Manage state and local tangible property tax returns and other business filings in which an obligation exists to file.</p><p>·      Research, maintain and review tax return work papers for various book to tax differences. </p><p>·      Keep up to date with current legislative developments. </p><p>·      Participate in and support ongoing integration projects/initiatives, streamline tax process related to U.S. income tax compliance, and other special projects.</p><p><br></p><p>If you have experience with the responsibilities above, please email your resume directly to anthony.riccio@roberthalf(.com) ASAP</p>