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Compliance Associate Jobs

Compliance Associate Jobs
By Robert Walters At New York City Metropolitan Area, United States
Prior work experience in compliance (preferably securities)
Responsibilities include but are not limited to:
Performing daily trade reviews using proprietary systems and databases
Assisting with maintaining Compliance policies and procedures
Assisting with various audits, regulatory inquires and filings
Conducting monthly testing of client confirmations and best execution reviews under supervision
Compliance Associate Jobs
By Rutherford At New York, United States
2-5 years’ experience in an asset manager or law firm with experience supporting private funds
Strong knowledge of the Investment Advisors Act of 1940 and Investment Company Act 1940
As an Associate, this individual with assist in the executive of the firm's BDC Compliance program.
Executing on generalist tasks as part of the 'Business Development Company' Compliance division
Provide compliance training to the wider business and relevant stakeholders
Align with the wider team on projects associated with US Regulatory Compliance
Senior Compliance Associate Jobs
By TIAA At New York, NY, United States
Support the management and oversight of the Enterprise Compliance Policy Program
Assist and train users of the Compliance Policy Program management software tool.
Work with policy management tool support to develop and troubleshoot key features .
3 years of compliance experience in financial services
5 years of compliance experience in financial services
Assist in the design, distribution, communication, scheduling and tracking of compliance training sessions
Sr. Compliance Associate - Remote
By Nordstrom At Centennial, CO, United States
5+ years’ experience in compliance, legal, risk management, or audit
Provide compliance oversight of findings identified by Nordstrom Compliance, Operational Risk Management, and Internal Audit, and Bank partner
Maintain compliance and professional knowledge by attending training, educational workshops, and reviewing publications
Assist with the implementation of Nordstrom compliance management program
BA/BS in Business Administration, Accounting, Finance, or mathematics related discipline or equivalent relevant work experience.
Identify opportunities to enhance compliance knowledge in first line business areas; develop and/or facilitate training sessions
Compliance Associate Jobs
By Atlantic Group At New York, NY, United States
Strong interest in real estate and/or investment management
Strong academic credentials from an undergraduate or JD education level.
2-5 years of prior experience in private equity compliance, legal, or risk-related field within the financial services industry.
Excellent written and verbal communication skills
Familiarity with regulatory requirements and industry best practices
Competitive salary commensurate with experience
Compliance Associate - Cryptocurrency
By CryptoRecruit At United States
Time management and organisational skills
$100K to $120K in line with experience plus additional company benefits.
Experience designing compliance-related products including company guidelines
Experience organising, analysing, and presenting data related to regulations
Experience assisting with regulatory audits and examinations
Minimum 1 year prior experience in conducting suspicious activity monitoring or customer due diligence investigations
Compliance Associate Manager, Auto
By Upstart At United States

About Upstart Upstart is a leading AI lending marketplace partnering with banks and credit unions to expand access to affordable credit. By leveraging Upstart's AI marketplace, Upstart-powered ...

Compliance Associate Jobs
By TBG | The Bachrach Group At United States
Evaluate servicing requirements, policies, and procedures to identify critical areas of risk for review.
Define the scope of transactions and select samples using appropriate sampling techniques.
Collect, analyze, and review supporting documents, conducting thorough transaction testing.
Create comprehensive workpapers and document findings from the review process.
Collaborate in the creation of compliance reports.
Contribute to the development of compliance-related presentations for real estate client.
Compliance Marketing Associate Jobs
By Phaxis At Los Angeles Metropolitan Area, United States
3+ years of experience within marketing review
Previous experience supporting marketing communications for a broker dealer
Great communication skills - both verbal and written
We are seeking an experienced Compliance Marketing Associate for a broker dealer client.
Oversee business regarding marketing materials and marketing communications for broker dealer.
Review marketing materials and ensure consistency with US and International regulatory standards
Compliance Sr Associate And Associate
By KeyBank At United States

Looking to fill various 2nd line Compliance roles within Home Lending Real Estate at KeyBank (fully remote).

Associate - Finance Accountant, Compliance & Operations
By Tiger Infrastructure Partners At New York, NY, United States

Funds: Manage the quarterly and annual accounting and financial reporting of the Company’s investment Funds; Ensure that all investor and other reporting obligations are completed; Ensure the accuracy ...

Clinical Compliance Associate Jobs
By Kelly At Jacksonville, FL, United States
Excellent interpersonal, oral communication, organizational, problem-solving, and analytical and time management skills.
Experience in working in clinical trials/studies and working knowledge of Good Clinical Practices (GCP), highly desirable.
Background may include Compliance, Finance, Sales and Marketing, Medical Affairs, Legal, Pharmacovigilance, Regulatory, Auditing or Science Discipline.
Ability and versatility to manage changing priorities and workflow for multiple projects and deadlines
Previous experience working in a corporate environment or pharmaceutical industry is desired
Experience in Health Care Compliance activities is a plus.
Organizational Compliance And Contracts Associate
By CyberCoders At Chicago, IL, United States
Experience with Concord Contract Management Software and Monday.com is preferred, but not required
Management of the periodic review and communication of organization policies and procedures
Contract management and negotiation, government contracting preferred
Reports directly to the Contracts and Compliance Manager and is responsible for supporting the entire contract administration process and related compliance
Manage contract databases, including tracking key dates, renewals, and modifications
Excellent communication, presentation, and interpersonal skills
Compliance, Swap Dealer Compliance, Associate, New York
By Goldman Sachs At , New York, 10282, Ny
Experience writing and implementing policies and procedures, management information and reports
Assist with the development and maintainenance of management reporting for Boards of Directors, CEOs and other senior stakeholders at the firm
4-8 years’ experience in and knowledge of CFTC, SEC, NFA swap dealer regulations
Product knowledge and regulatory experience within the OTC derivatives and securities-based swaps businesses a plus
Strong interpersonal skills and the ability to manage processes and drive change and accountability with key internal stakeholders
Effective communicator with senior stakeholders both verbally and written, including experience delivering trainings
Associate Director, Compliance Jobs
By FUJIFILM At , Thousand Oaks, 91320, Ca $165,000 - $180,000 a year
6+ years of direct or indirect management experience
Certification/training in applicable quality management disciplines preferred
Experience with cGMP, manufacturing, and testing requirements as they relate to biologics
Define the Compliance strategy to support business requirements.
Sets the requirements for the Self Inspection Program
Develops and manages training for Auditors, and external inspection support staff
Associate Compliance Analyst Jobs
By Symetra At , Bellevue, 98004, Wa $55,000 - $91,700 a year
Your education, experience and skills
Want more details? Check out our Symetra Benefits Overview
Bachelors in Finance, Accounting, Economics or Law-related field.
1+ years in Investments, Audit, Technology or Finance related field.
Excellent written and verbal communication skills.
Monitor and perform surveillance testing on SIMREI policies and procedures to determine effectiveness of related control processes.
Customs Compliance Associate Manager
By Lacoste At New York, United States
Supervise the management of export customs requirements and filings for shipments from the US to Canada, Mexico, and Puerto Rico.
Strong interpersonal and collaborative skills with the ability to work cross-functionally and cross-culturally between departments, external providers, and remote teams.
Manage the annual CTPAT audit and security review to ensure compliance.
Lead cross-functional projects related to customs compliance and collaborate with remote teams in France and other locations.
Bachelor’s degree and 5+ years of experience in import customs brokerage in a corporate environment or customs brokerage firm
Expert knowledge of Harmonized Tariff Classification (HTS), US customs regulations, duty drawback, entry documentation, in-bond cross-border shipments, and incoterms.
Associate Director Of Compliance
By BioSpace At Boca Raton, FL, United States
7 -10 years quality management experience required
Coordinate vendor/supplier and 3rd party plasma complaints. Host complaint management committee and provide data for LQMR/GQMR
Bachelor’s degree in science, engineering, or operations management required
Direct supplier qualification program to assess the Quality compliance performance of the US center fleet.
Manages and tracks the CSL plasma quality plan and drives the execution of the quality plan for CSL plasma
10 or more experience with strategic planning and deployment practices such as Hoshin Kanri
Sr. Associate, Compliance (Qa / Pqr)
By SUN PHARMA At Billerica, MA, United States
Manage electronic Quality Management System (TrackWise)
Ability to manage multiple responsibilities and projects in a fast paced environment, while performing in an efficient manner
Strong knowledge of Trackwise to handle electronic Quality Manage System (eQMS) data
Superior internal and external customer service/people skills
Minimum 6 - 8+ years related experience in a pharmaceutical manufacturing environment
Working knowledge of cGMPs, GLPs
Associate Compliance Specialist Jobs
By Newport At , , Il
Required Education, Experience and Certificates, Licenses, Registrations
Preferred (but not required) education or skills for this role are
Manages multiple tasks effectively by balancing high productivity with excellent service quality
Collaborates with and openly shares knowledge with colleagues.
Presents information and responds to questions from managers, clients, and internal customers.
Bachelor’s degree in a business-related field or industry experience

Are you looking for an opportunity to make a real impact in the world of compliance? We are looking for a Compliance Associate to join our team and help us ensure that our company is compliant with all applicable laws and regulations. You will be responsible for researching and analyzing legal and regulatory requirements, developing and implementing compliance policies and procedures, and providing guidance and support to our team. If you are passionate about compliance and have a strong attention to detail, we want to hear from you!

Overview A Compliance Associate is responsible for ensuring that an organization is in compliance with applicable laws, regulations, and standards. This position requires a strong understanding of the legal and regulatory environment, as well as the ability to interpret and apply laws and regulations to the organization’s operations. The Compliance Associate is also responsible for developing and implementing policies and procedures to ensure compliance with applicable laws, regulations, and standards. Detailed Job Description The Compliance Associate is responsible for monitoring and ensuring compliance with applicable laws, regulations, and standards. This includes researching and interpreting laws and regulations, developing and implementing policies and procedures, and providing guidance and advice to the organization on compliance matters. The Compliance Associate is also responsible for conducting internal audits and investigations, and for providing training and education on compliance matters. Job Skills Required
• Knowledge of applicable laws, regulations, and standards
• Ability to interpret and apply laws and regulations
• Ability to develop and implement policies and procedures
• Strong research and analytical skills
• Excellent communication and interpersonal skills
• Ability to work independently and as part of a team
• Ability to manage multiple tasks and prioritize work
• Strong organizational and problem-solving skills
Job Qualifications
• Bachelor’s degree in law, business, or a related field
• Relevant experience in compliance or a related field
• Professional certification in compliance (e.g., Certified Compliance Professional)
Job Knowledge
• Knowledge of applicable laws, regulations, and standards
• Knowledge of internal audit and investigation procedures
• Knowledge of risk management principles and practices
• Knowledge of data privacy and security regulations
Job Experience
• Previous experience in a compliance or legal role
• Previous experience in an internal audit or investigation role
• Previous experience in a risk management role
Job Responsibilities
• Monitor and ensure compliance with applicable laws, regulations, and standards
• Research and interpret laws and regulations
• Develop and implement policies and procedures
• Provide guidance and advice on compliance matters
• Conduct internal audits and investigations
• Provide training and education on compliance matters
• Monitor and report on compliance activities