Compliance Audit Contractor

  • Job ID:

  • Pay rate range:

    $80 - $90
  • City:

    New York
  • State:

    New York
  • Duration:

    08/19/2019 - 11/19/2019
  • Job Type:

  • Job Description

    Pay: $80-$90 per hour

    Duration: 3+month

    A Large public accounting firm is seeking a Compliance Audit Contractor with swaps background for a 3+month project located in New York (Wall Street area). The Sr. IT Auditor will be responsible for:

    • Reviewing CFTC regulations and CEA requirements to ensure alignment with company policies and procedures.
    • Creating and developing risk and control matrix's for documenting inherent risks, controls, and control test plans for effectiveness for the aforementioned CEA and CFTC rules.
    • Reviewing clients policies and procedures, conducting interviews with the business units and creating process flow charts.
    • Developing and maintaining 2nd LOD testing work papers (e.g. testing results, identifying exceptions and making recommendations for process improvements).
    • Ensuring client deliverables meet with internal Quality & Risk Management expectations.



    • 5+years exp in IT Audit
    • Experience Swap Mandatory Clearing Standards (CFTC Rules 50.2, 50.4, 50.10, 50.25, 50.50, 50.51, CEA Section 2 (h)(1 & 7), CFTC Letter No 13-22, CFTC No-Action Letter No. 14-135)
    • Position Limits (CFTC 23.601)
    • Segregation of Collateral for Uncleared Swaps (CFTC Rules 23.701, 23.703 , 23.704 and CFTC Letter No. 12-132).


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