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Compliance Associate Jobs

Compliance Associate - Marketing Review
By The Haverford Trust Company At Greater Philadelphia, United States
Seeks to continually increase knowledge of, and skills in, compliance.
Hybrid work environment with in-office and at-home days to be determined with the team manager.
BA/BS Degree or equivalent experience.
Minimum 2-3 years’ experience marketing/advertising review at a registered investment adviser
Demonstrate excellent communication skills – written and verbal.
Possess exceptional client relationship skills with a strong focus on client service and value additions.
Compliance Analyst, Sr. Associate
By New York Life Insurance Co At , Norfolk $82,500 - $122,500 a year
Minimum 2 years of industry experience
Comprehensive knowledge of registered and nonregistered products
Excellent communication skills (written and verbal)
Must be a self-starter, results-oriented, a team player and be able to prioritize responsibilities
Assist Managing Partner in Agent Supervision
Review incoming correspondence and handle red flags as appropriate
Associate, Ofac Compliance Analyst
By CFSB At New York, NY, United States
Ensure timely completion of all mandatory training requirements. Knowledge, Skills, and Abilities:
Review daily manual reports for OFAC screening, documenting the reviews and reporting findings to management as necessary.
Organized, detail- oriented, self-motivated, and strong communication, writing, and follow-up skills
Ability to work dependably and consistently under team constraints, and to manage time efficiently and effectively
Strong research, analysis, communication, writing, and follow-up skills. Ability to identify, escalate and resolve a problem
Understanding of compliance and BSA/AML/OFAC regulatory requirements and implications
Associate Director, Qa Compliance
By Arcus Biosciences At , Brisbane $170,000 - $185,000 a year
Assist with the development and management of the auditor qualification, training requirements and develop effective auditing tools.
Previous Quality Assurance experience that provided the knowledge, skills, and abilities to perform the expectations outlined in this job description.
5+ years in an internal and vendor auditor role for in GMP/GCP /GLP/GPvP/GDP fields. Quality Auditor / Manager Certification, preferred.
Experience with technologies used to conduct audits in a remote/virtual environment.
Must have the ability to build and maintain positive relationships with department management, peers, and other colleagues across the organization.
Self-motivated with the ability to take initiative, ownership and manage multiple responsibilities while shifting priorities quickly under tight timelines.
Senior Compliance Associate (Remote)
By Nordstrom At 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.
Nordstrom is able to offer remote
Compliance Associate - Us Region
By kraken At , Remote
Research on regulatory matters (state and federal regulatory change management)
Assistance in management of various inboxes and provide timely responses to all stakeholders
Identify and develop workflow efficiencies, project management enhancements, and productivity tracking
Extensive knowledge of BSA/AML requirements, process implementation, programs, and relevant documentation
Knowledge of US know your customer requirements and regulations
Four-year degree or equivalent experience
Compliance Associate Jobs
By Fortress Information Security At Greater Orlando, United States
Time Management: Adhere to daily time tracking requirements, ensuring all tasks and responsibilities are accounted for.
Insurance Maintenance: Oversee and update the company's insurance records, ensuring timely renewals, accurate invoice tracking, and effective billing management.
Great Ongoing Learning and Development opportunities offered for certifications and tuition reimbursement
Regulatory Compliance: Manage the company's state registration and filing necessities. This includes keeping track of renewal dates and ensuring timely payments.
0-1 years understanding of accounting and finance as it relates to financial reporting and budgeting.
Strong analytical, critical thinking and problem-solving skills.
Associate Director, Qa Compliance
By Arcus Biosciences At , Hayward, 94545, Ca $170,000 - $185,000 a year
Assist with the development and management of the auditor qualification, training requirements and develop effective auditing tools.
Previous Quality Assurance experience that provided the knowledge, skills, and abilities to perform the expectations outlined in this job description.
5+ years in an internal and vendor auditor role for in GMP/GCP /GLP/GPvP/GDP fields. Quality Auditor / Manager Certification, preferred.
Experience with technologies used to conduct audits in a remote/virtual environment.
Must have the ability to build and maintain positive relationships with department management, peers, and other colleagues across the organization.
Self-motivated with the ability to take initiative, ownership and manage multiple responsibilities while shifting priorities quickly under tight timelines.
Compliance Associate Jobs
By PowerCoin At Lancaster County, PA, United States
High attention to detail, high efficiency, and excellent time management skills.
Excellent project management and organizational skills, including ability to work on multiple projects simultaneously in a fast-paced and dynamic environment.
Experience using Chainalysis or Elliptic.
Advanced research and analytical skills.
Expert oral, written, and interpersonal communication skills with the ability to distill and present complex information accurately and clearly.
This is a remote-first position which may require some infrequent travel to our Lancaster, PA office location.
Compliance, Core Compliance, Risk Governance, Associate
By Goldman Sachs At New York, NY, United States
Exceptional analytical, problem solving, critical thinking and project management skills with a proven track record of execution against deadlines
Excellent time management, analytical and communication skills
Advanced Excel and PowerPoint skills with ability to quickly learn new tools, Alteryx experience is a plus
Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm, in particular, senior stakeholders
Demonstrate very strong written and oral communication, as well as analytical abilities
Multi-task and have the ability to manage and advance multiple projects simultaneously
Senior Compliance Associate Jobs
By Insight Global At Boca Raton, FL, United States
Knowledge of products/services available in the investment management industry
100% paid for benefits – health, vision, dental
ROWE – Results Only Work Environment – Hybrid/Remote model
4+yrs experience in financial services in a compliance role
Experience providing compliance review on marketing materials
Remote Compliance Associate Jobs
By Rezult Group, Inc. At United States
· Risk management experience is a plus
· Create reports for senior management and external stakeholders.
· Strong knowledge of BSA, AML, Reg E rules and regulations
No 3rd party applicants (cannot work C2C), please
· Assist in establishing, maintaining, and testing a complex compliance program for a fintech startup.
· Create and implement productive and efficient company policies and guidelines.
Policy & Compliance Operations Associate (Hybrid)
By Weedmaps At Irvine, CA, United States
Work cross-functionally with partners from Sales, Customer Service, Support Operations, and Legal to improve the Weedmaps experience, process, and tooling.
BA/BS Degree required or equivalent experience
2+ years policy and compliance operations experience
5+ years customer service experience
1+ years experience writing and maintaining standard operating procedures and policies
Exceptional communication skills, both written and verbal
Compliance Associate Jobs
By ARGA Investment Management, LP At Stamford, CT, United States
Responsibilities include but are not limited to:
Assist with developing, drafting and maintaining compliance policies and procedures outlining firm requirements, regulations and best practices
Coordinate with internal stakeholders to assist with new business initiatives and regulatory requirements
3-5 years of compliance, legal or regulatory experience at a registered firm,
Excellent verbal and written communication skills
Create and deliver compliance trainings
Compliance Senior Associate Jobs
By FanDuel At New York, NY, United States
Excellent oral and written communication skills with the ability to communicate at all levels of management
Complete other regulatory compliance tasks assigned by management.
Sound and tested experience exercising judgment including communication, relationships and the accurate presentation of materials required of high-stakes engagements
Highly organized individual with strong attention-to-detail skills
Experience engaging with federal or state regulators a plus
Excellent interpersonal and presentation skills
Compliance Administrative Associate Jobs
By Navia Benefit Solutions, Inc. At Renton, WA, United States
· Manage plan projects and data needs
· Knowledge of department and company systems (PSL, SF, Flexman, etc.) as required for your position
· Onboarding new clients in company systems
· Create, maintain, and enter information into databases
· Invoice for services and products as necessary
· Assist with projects and audits
Compliance Controls & Policy - Associate
By Sumitomo Mitsui Banking Corporation At New York, NY, United States
3+ years in financial services environment, with an emphasis on compliance and/or risk management experience.
Excellent time management skills with a proven ability to meet deadlines.
Support policy management efforts, assisting with the review, quality control, and publishing of policy related documents.
Point person for team’s management of policy related Audit, Monitoring and Testing Issues Tracker.
Project management and/or process improvement.
Experience developing policies and procedures with emphasis on writing and editorial skills preferred but not required.
Senior Compliance Associate Jobs
By FD Associates Inc At Tysons Corner, VA, United States
oStrong writing, communication, training, and research skills with attention to detail
oStrong organizational skills and ability to establish priorities among a wide array of projects
·Strong MS office skills required
·Working knowledge of export regulations referenced required.
Position can be remote or hybrid.
Vacation/Sick ( 2 weeks(1-2)3 weeks(3-5), 4 weeks (6 and beyond)
Associate - Compliance Jobs
By IQ-EQ At New York, NY, United States
Analytical, technical, and technology skills with proficiency in basic Office software, including Excel and Word
Must be able to demonstrate strong organizational and problem-solving skills with attention to detail
Must be able to demonstrate strong oral and written communication skills
Drafting regulatory policies and procedures
Analyzing clients’ trading practices, including evaluating personal securities transactions
Ensuring compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures
Associate - Compliance Jobs
By IQ-EQ At Dallas, TX, United States
Analytical, technical, and technology skills with proficiency in basic office software, including Excel and Word
Must be able to demonstrate strong organizational and problem-solving skills with attention to detail
Must be able to demonstrate strong oral and written communication skills
Ability to analyze industry regulations; adapt and develop policies and procedures to meet compliance requirements
Conducting forensic testing and verification of internal controls for clients to comply with prevailing rules and regulations
Assisting with managing clients’ registrations with applicable regulators, including the SEC and CFTC

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