Compliance Testing Analyst
About the Role
Global Advisers is seeking a Compliance Testing Analyst in West Palm Beach, FL to perform risk-based testing and monitoring across the firm's advisory, operational, technology, and client-service activities and document findings through remediation. The role is designed for professionals who can exercise sound judgment, work collaboratively, and maintain high standards of accuracy, client service, and professional conduct.
Responsibilities
- Develop and execute compliance testing procedures based on identified regulatory and operational risks.
- Sample records, transactions, communications, and workflows to evaluate adherence to policy.
- Document methodology, findings, evidence, and corrective actions.
- Track remediation and validate completion.
- Identify recurring control weaknesses and recommend practical improvements.
- Coordinate with business owners while maintaining independent testing judgment.
Qualifications
- Bachelor's degree in finance, accounting, law, risk, or a related field.
- Three or more years of compliance testing, internal audit, operational risk, RIA compliance, or related experience.
- Strong documentation and analytical skills.
- Ability to evaluate evidence objectively and communicate findings clearly.
- Strong knowledge of controls and risk-based testing concepts.
Preferred Qualifications
- CIA, IACCP®, CPA, CISA, or similar credential.
- Experience with investment-adviser compliance programs or regulatory examinations.
Skills for This Role
Compliance Testing & Monitoring, Risk Assessments, Operational Risk, Books & Records, Incident Management, Policies & Procedures, Quality Control
How We Evaluate Candidates
Global Advisers operates as a meritocracy. We evaluate candidates against the requirements of the role, demonstrated capability, judgment, initiative, professionalism, and the quality of their work.
Employment Notices
Equal Employment Opportunity
Global Advisers provides equal employment opportunity to qualified applicants and employees without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity or expression, national origin, age, disability, genetic information, military or veteran status, or any other characteristic protected by applicable federal, state, or local law. Employment decisions are based on merit, qualifications, performance, and legitimate business needs. Global Advisers does not tolerate unlawful discrimination, harassment, or retaliation.
Reasonable Accommodation
Global Advisers is committed to providing reasonable accommodation to qualified applicants with disabilities during the recruiting and application process. If you need an accommodation to apply for a role, contact careers@globaladvisers.com. Requests for accommodation are considered in accordance with applicable law.
Employment Information
Role requirements, compensation, benefits, work arrangements, licensing requirements, and employment eligibility are position-specific and subject to applicable law. Any background, credential, or licensing review is conducted only as appropriate for the role and in accordance with applicable federal, state, and local requirements.