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Advisory Compliance Surveillance Analyst Jobs

Vice President Of Compliance Advisory
By Conselium Compliance Search At United States
Build new compliance processes, policies, and procedures and risk management programs, with an eye toward building digital-first, scalable solutions
Participate in and bring the Compliance perspective to critical situations, change management, and client/partner requests
Enterprise Risk Management, Business Continuity, Anti-Financial Crimes, and Privacy, as well as the Bank
The role is remote with travel as needed...relocation not required
You will be part of the executive leadership team offering you visibility, influence, and career growth options
Continually raise awareness of compliance, integrity, and risk issues. Review compliance related content to be included in employee training and education
Compliance – Surveillance Lead (Equities Trade Surveillance) – Vice President
By JPMorgan Chase & Co At , Jersey City, 07310 $114,000 - $185,000 a year
Required Qualifications, Capabilities, and Skills
Preferred Qualifications, Capabilities, and Skills
Bachelor’s degree or equivalent experience;
Relevant regulatory or broker-dealer experience such as a role in compliance, trade surveillance, or securities regulation;
Relevant knowledge of securities products and trading, particularly equities and equity derivative products;
Knowledge of industry rules, regulations, and market structure;
Compliance Control Advisory, Sr. It Analyst
By National Grid At , Waltham $100,000 - $118,000 a year
Strong technical risk management, governance, and audit skills
Strong technical risk management, governance and/or audit skills, understand risk assessment techniques, and 1st, 2nd, and 3rd lines of defense frameworks.
Effectively communicate risks, issues, and related recommendations in both technical and non-technical terms to Operational and IT management
Strong problem solving, and analytical skill capabilities preferred.
Manage relationships with second- and third-line stakeholders, including developing and maintaining effective communication channels and providing timely and accurate information
Knowledge of Agile methodology is a plus.
Advisory Analyst Jobs
By Kreischer Miller At Horsham, PA, United States
Assist in developing ownership transition models involving management buyouts, family transition, third-party sales or ESOP transactions.
BS degree in accounting; an emphasis in finance a plus
0-1 years of recent valuation or M&A experience
The ability to work independently and proactively, identifying issues as well as offering potential solutions
The ability to manage multiple projects and clients
Possess a positive attitude, good communication skills and willingness to learn
Analyst, Product Surveillance Jobs
By Intellectt Inc At Burlington, MA, United States

post-market surveillance in a Medical Device or Pharmaceutical Industry preferred

Full-Time Analyst - Technology Advisory (Menlo Park)
By Evercore At Menlo Park, CA, United States
Graduated from a top school with Finance, Accounting
1-2 years of investment banking experience or a relevant internship if recently graduated
Superior analytical skills and demonstrated excellence in academic coursework
Strong interpersonal skills and ability to articulate ideas
Excellent communications skills, both written and oral
Undergraduate class of 2022 or 2023 for recent graduates
Analyst, Financial Advisory Jobs
By ICONIQ Capital At San Francisco Bay Area, United States
Passion for investment management and client service.
Monitor client investment performance and manage quarterly portfolio reports, ensuring accuracy and consistency.
Participate in equity and option trading activities with increasing responsibilities for investment execution.
Two years of relevant professional/financial services experience.
Superior communication and analytical skills.
Prepare client balance sheets and develop asset allocation analyses.
Global Medical Ethics & Compliance Advisory Lead
By BioSpace At Boston, MA, United States
Minimum 8 years of legal or compliance experience, of which at least 6 years in the pharmaceutical industry.
Experience with Global Codes of Practice, US PhRMA Code, health care laws/regulations
What Takeda Can Offer You
Gain agreement with senior Global Medical and Region/Country E&C colleagues to resolve E&C relevant matters.
Help implement an annual enterprise and local risk assessment process. Collaborate with Global Medical to define and track mitigation actions.
Coordinate and develop materials for Global Medical E&C Risk Ethics & Compliance Committee meetings (e.g. - external benchmarking, internal compliance metrics)
Risk Surveillance Analyst Jobs
By RBC Wealth Management At Minneapolis, MN, United States
Interpret and investigate substantive findings for context and potential impact under the direction of management.
Escalate matters of concern to the appropriate supervisory personnel and work with management to resolve issues.
Track metrics and design management reports that evidence trends.
Processing monthly account review data for distribution to Supervisory Risk Managers
Excellent written and verbal communication skills
Strong Microsoft Office Suite skills
Category Advisory, Senior Analyst
By Tropicana Brands Group At United States
2+ years of Category Management / Analytics experience within the consumer-packaged goods industry
Manage customer planogram requirements, category updates, timelines, and implementations
2+ yrs with Space Management software (JDA, etc)
Ability to understand and utilize category data in conjunction with Space Management software and reporting software
Strong planning/organizing skills; the ability to manage multiple initiatives simultaneously
Manage project requests and assignments
Market Surveillance Analyst Jobs
By Coda Search│Staffing At New York City Metropolitan Area, United States
3+ years of market surveillance experience – ideally within commodities
Prior experience with trade or communication surveillance
Building out processes and implementing new systems
Interacting with traders and working cross-functionally across the entire group
Analyst - Private Capital Advisory
By Lazard At New York, United States
One year of relevant work experience (investment banking, corporate finance, management consulting or placement agent is strongly preferred)
Decades of experience and a global network of relationships with relevant sources of capital
Manage the new investor / buyer outreach process as part of live transactions
Track market data to assist the group’s communications with fund managers and limited partners
Strong interpersonal skills and ability to communicate both to PCA deal teams and external clients
Private Equity and Credit Fund Placement:
Compliance Surveillance Analyst Jobs
By Mizuho Americas At , New York, Ny $104,250 - $150,000 a year
Excellent project management and organizational skills and capability to handle multiple projects at one time
Maintain consultant tracking and assess Public/Private access requirements.
Knowledge of Compliance laws, rules, regulations and risks
A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
Excellent research and analytical skills
Excellent written and verbal communication skills
Surveillance Analyst 2 - Remote
By BankUnited At , Miami Lakes, 33016, Fl
Report all findings to team leader and manager.
Perform any other assignments as directed by manager.
5-7 years of experience in banking and BSA/AML compliance.
Prepare Suspicious Activity Reports (SAR) when suspicious activity is detected.
Review due diligence reports to understand customer risk on a holistic basis.
Prepare and file reports with OFAC as required.
Aml Compliance Analyst, Surveillance And Investigations
By Brown Brothers Harriman At , Utica, Ny
Assists in the production of FIU metrics reporting to management (daily, weekly, monthly, quarterly)
Knowledge of relevant FinCEN advisories and SAR best practices
Manage the FIU QC process to ensure investigation and alert quality and timeliness
Ensures timely completion of all mandatory training requirements
Ensures all licenses and certifications are up to date
High-quality benefits program emphasizing good health, financial security, and peace of mind
Compliance Analyst-Investment Advisory Jobs
By Voya Financial At , New York, 10169, Ny
Analyze client documentation and information for accuracy, and determine adequacy thereof based upon dealer requirements, account type and products traded
Liaise with Client Services, Middle Office Operations, Legal, and Compliance and advise on requirements or deliverables
Review daily shareholding records to ascertain whether shareholding disclosure reporting requirements have been triggered
Bachelor's degree in Accounting, Finance, Economics or relevant areas of study.
Bachelor's Degree or equivalent experience
Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
Advisory Compliance Analyst / Surveillance
By Atria Wealth Solutions At Greater Houston, United States
Equivalent combination of education and experience.
3-5+ years of related experience and/or training
Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public.
Strong computer skills including Microsoft Office (Excel, Word, Outlook) are a must as well as strong multi-tasking skills.
Houston: 11740 Katy Freeway, Energy Tower 111, Ste 600, Houston, TX 77079
San Diego: 10150 Meanley Drive, San Diego, CA 92131
Head Of Global Markets Compliance Advisory - Americas
By Crédit Agricole CIB At New York, NY, United States
Develop and deliver training and education to make employees aware of their compliance and regulatory responsibilities.
Ability to interact with Senior Management, and provide them with information they require completely, promptly and accurately.
15+ years prior compliance advisory experience, including interaction with US regulators.
Experience in managing a small team of compliance officers
Ability to identify, research, and define compliance requirements.
Strong writing and presentation skills.

Are you looking for an exciting opportunity to join a leading financial services firm as an Advisory Compliance Surveillance Analyst? Our team is seeking a highly motivated individual to help ensure our firm's compliance with regulatory requirements. You will be responsible for monitoring and analyzing trading activity, identifying potential violations, and providing guidance to ensure compliance with applicable laws and regulations. If you are a detail-oriented individual with a passion for compliance, this is the perfect job for you!

Overview Advisory Compliance Surveillance Analysts are responsible for monitoring and analyzing financial markets and transactions to ensure compliance with applicable laws and regulations. They are responsible for identifying and reporting any suspicious activity or potential violations of regulations. They also provide advice and guidance to clients and other stakeholders on compliance matters. Detailed Job Description Advisory Compliance Surveillance Analysts are responsible for monitoring and analyzing financial markets and transactions to ensure compliance with applicable laws and regulations. They review and analyze customer accounts, transactions, and other financial data to identify any suspicious activity or potential violations of regulations. They also provide advice and guidance to clients and other stakeholders on compliance matters. They may also be responsible for developing and implementing compliance policies and procedures. Job Skills Required
• Knowledge of financial markets and regulations
• Analytical and problem-solving skills
• Attention to detail
• Excellent communication and interpersonal skills
• Ability to work independently and as part of a team
• Proficiency in Microsoft Office Suite
Job Qualifications
• Bachelor’s degree in finance, accounting, economics, or a related field
• Professional certification in compliance, such as Certified Regulatory Compliance Professional (CRCP)
• Previous experience in a compliance or regulatory role
Job Knowledge
• Knowledge of financial markets and regulations
• Knowledge of compliance policies and procedures
• Knowledge of financial analysis and reporting
• Knowledge of risk management principles
Job Experience
• Previous experience in a compliance or regulatory role
• Previous experience in financial analysis and reporting
• Previous experience in risk management
Job Responsibilities
• Monitor and analyze financial markets and transactions to ensure compliance with applicable laws and regulations
• Review and analyze customer accounts, transactions, and other financial data to identify any suspicious activity or potential violations of regulations
• Provide advice and guidance to clients and other stakeholders on compliance matters
• Develop and implement compliance policies and procedures
• Prepare reports and presentations on compliance matters
• Monitor changes in laws and regulations and ensure compliance
• Maintain records of compliance activities and investigations