Manager - Examinations and Testing

Company: Mohr Talent
Location: Austin
Posted on: May 3, 2025

Job Description:

Key Responsibilities:

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  Identify and assess operational and regulatory risks, contributing to the firm-wide risk assessment process.
  
  
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  Conduct compliance testing of business units to ensure adherence to written supervisory and departmental procedures.
  
  
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  Review and help improve written procedures for compliance and operational efficiency.
  
  
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  Assist in preparing required regulatory reports, including FINRA 3120/3130 and SEC 206(4)-7 annual filings.
  
  
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  Support the implementation and execution of Anti-Money Laundering (AML) and Cybersecurity compliance programs.
  
  
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  Oversee the branch examination process and manage third-party vendors to ensure compliance with firm and regulatory standards.
  
  
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  Ensure vendor performance meets internal quality assurance expectations and regulatory requirements.
  
  
  
  Requirements:
  
  
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    Active or reactivatable FINRA Series 7 and Series 24 licenses.
    
    
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    Minimum of 2 years auditing experience within a broker/dealer environment.
    
    
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    At least 5 years of total industry experience.
    
    
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    Strong understanding of Broker/Dealer and Investment Advisor regulations.
    
    
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    Proficiency with Microsoft Office applications.
    
    
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    Familiarity with SEC, FINRA, MSRB rules, and broader financial regulatory frameworks.
    
    
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    Experience with AML and cybersecurity regulatory requirements.
    
    
    MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com

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