Management Level

Equiniti is a leading international provider of shareholder, pension, remediation, and credit technology. With over 6000 employees, it supports 37 million people in 120 countries.

EQ US is a leading provider of ownership data management, analytics and advisory services to public and private companies as well as corporate issuers and mutual funds. EQ offers a comprehensive product set, including transfer agency services, cap table management, equity compensation services, proxy solicitation and advisory services, private company solutions and bankruptcy claims administration services. Affiliates include, D.F. King and Co., Inc. and Astrella Private Company Solutions, Inc. Learn more at:

EQ's vision is to be the leading global share registrar, offering complementary services to its client base and our values set the core foundations to our success. We are TRUSTED to deliver on our commitments, COMMERCIAL in building long term value, COLLABORATIVE in our approach and we IMPROVE by continually enhancing our skills and services. There has never been a better time to join EQ.

Core Duties/Responsibilities

• Support the compliance program by performing monitoring and testing, as well as participating in the implementation of program initiatives and helping to execute the efforts of the compliance team
• Development of test programs
• Identify compliance and control deficiencies/gaps, propose adequate remediation plans based on the risk associated with the deficiency/gap
• Maintain documentation evidencing the test procedures performed in alignment with internal policies and procedures
• Ability to quickly understand business and apply business knowledge to testing activities
• Provide subject matter expertise on regulations, internal governance, procedures to business units
• Support and participate in issues management program
• Facilitate audits and regulatory exams as requested by management

Skills, Capabilities and Abilities

• 2-3 years of experience in compliance, risk management or audit
• Bachelor's degree or equivalent work experience
• Demonstrated oral and written communication and interpersonal skills
• Strong knowledge of Risk/Audit/Compliance competencies
• Familiarity with risk control functions
• High attention to detail and accuracy
• Strong organization skills
• Ability to manage multiple projects simultaneously
• Advance experience with MS Office

• Experience working with Risk management software including Sales Force products (preferred)

Equal Opportunity Statement

We are an equal opportunity employer and make employment decisions without regard to race, creed, religion, national origin, sex (including pregnancy, gender identity, and sexual orientation), parental status, marital status, national origin, age, disability, family medical history or genetic information, political affiliation, military service, status with regard to public assistance, or any other characteristic protected under federal, state, or applicable local law.