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Recruiter's Glossary

Examples: Control Testing • Vendor Management • Form CRS

Compliance Terms

Understanding these terms will help you better evaluate candidates and communicate with hiring managers

Reg BI

CTRs

Privacy Policy

Dodd-Frank

Governance

SOX 404

KYC

Remediation

NIST

AML

FINRA

Ethics Program

Audit Trail

Form ADV

GDPR

Rule 206(4)-7

Training Program

Data Protection

ISO 27001

Control Testing

Regulatory Exam

Sanctions Screening

BSA

Third-Party Risk

Risk Register

Policies and Procedures

Compliance Calendar

Basel III

OFAC

HIPAA

Due Diligence

CCPA

SARs

Code of Conduct

Compliance Testing

Rule 38a-1

Risk Assessment

PCI DSS

Control Environment

Form CRS

FATCA

Record Retention

Compliance Monitoring

Regulatory Reporting

Whistleblower

Policy Framework

Attestation

SEC Regulations

Vendor Management

Internal Controls

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