Senior Compliance Specialist, Octus
Controls and Testing
Unleashing insights for accelerated financial decisions
Open for applications
Unleashing insights for accelerated financial decisions
501-1000 employees
Open for applications
501-1000 employees
Company mission
To empower subscribers to discover and synthesize the information that matters through the combination of passionate experts and innovative technology.
Role
Who you are
- 5+ years in compliance, internal audit, risk management or related field
- Strong understanding of applicable regulations (GLBA, SOX, etc.)
- Established working knowledge of internal control concepts and testing methodology
- Prior experience in data/information services or financial sector (Compliance, Control Room) and exposure to tech/software industry and Agile development environment is a bonus
- Credential such as CPA, CIA is a plus
What the job involves
- As a Senior Compliance Specialist - Controls and Testing at Octus, you will develop, implement, and maintain compliance controls policies and procedures to ensure adherence to regulatory requirements and mitigate risk across Reorg's products, services, and business practices
- You will partner with cross-functional teams including Legal, Product, Technology, and Business to provide subject matter expertise and advise on control design
- You will also partner with VP to design testing programs and perform testing to ensure ongoing compliance control effectiveness and identify opportunities for enhancement
- Draft policies and playbooks documenting internal controls and requirements for data access, system permissions, information barriers, data retention, vendor oversight, etc
- Collaborate with other compliance team members to research regulations and translate requirements into practical, risk-based controls
- Perform periodic control testing through review of permissions, system logs, sample testing, and other methods. Analyze results, identify gaps, and develop remediation plans
- Clearly document and report the status of key controls to leadership
- Advise product, engineering, and commercial teams on building compliant and ethical data products
Our take
Octus, formerly Reorg, is a global provider of credit intelligence, data and analysis of issues affecting the distressed debt, event-driven and leveraged finance markets. The company sets itself apart by taking an approach that combines reporting with financial and legal analysis, providing a holistic view and delivering that view in real-time.
Octus has fundamentally changed the way in which financial and legal professionals access complex business information. Its service reaches over 25,000 people across a variety of institutions and its subscription-based service is giving organisations the ability to replace the work of junior attorneys.
Octus garnered considerable interest from several private equity and strategic rivals due to its expensive subscription-based services that have proven to result in stable growth for clients. Octus's services are particularly valuable and its 2022 buyout by British global investment firm Permira opens the doors to vast opportunities for Octus's further growth.
Steph
Company Specialist at Welcome to the Jungle
Insights
Company
Company benefits
- Medical, dental, vision and 401(k) benefits
- A flexible, hybrid working policy with home office reimbursements
- Reimbursements for career development and continuing education
- Generous paid time off – including vacations, sick leave and parental leave
- Employee referral bonuses
- Gym subsidies and other fun fitness benefits
- Kudos program to recognize and reward colleagues
- Manager training programs
Company HQ
NoMad, New York, NY
Leadership
Kent Collier
(Founder &)Experienced Analyst having previously worked at Catalyst Investment Management and Millennium Partners, also worked as the Vice President at Assurant Asset Management.
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