Compliance Programs Compliance Associate Jobs in New York, New York

Strong verbal/written communication abilities and effective interpersonal skills

Begins to develop a current knowledge of the laws and regulations that pertain to the department they are assigned to.

This list of responsibilities may not be all-inclusive and can be expanded to include other duties or responsibilities as needed.

Compensation : All intern s are paid at a competitive rate .

Training: Virtual and in-person trainings to get interns onboarded and connect ed with the company globally.

Mentorship : Interns have a mentor and buddy to help answer any questions and work alongside during your internship.

Support drafting of clear, concise memos, proposals, program reports and presentations for executive management.

Skilled in working independently and collaboratively as part of a team, as well as experience engaging external partners and/or working cross-functionally.

Interest in and knowledge of public policy, fiscal policy, and learning about new issue areas connected to the Foundation’s core mission.

Strong analytical skills, adept at research and writing, and impeccable attention to detail.

Excellent oral and written communication skills.

Research and synthesize trends, policy developments, key players and initiatives related to mission and programs.

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

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

Support drafting of clear, concise memos, proposals, program reports and presentations for executive management.

Skilled in working independently and collaboratively as part of a team, as well as experience engaging external partners and/or working cross-functionally.

Interest in and knowledge of public policy, fiscal policy, and learning about new issue areas connected to the Foundation’s core mission.

Strong analytical skills, adept at research and writing, and impeccable attention to detail.

Excellent oral and written communication skills.

Research and synthesize trends, policy developments, key players and initiatives related to mission and programs.

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

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.

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

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

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

Support drafting of clear, concise memos, proposals, program reports and presentations for executive management.

Skilled in working independently and collaboratively as part of a team, as well as experience engaging external partners and/or working cross-functionally.

Interest in and knowledge of public policy, fiscal policy, and learning about new issue areas connected to the Foundation’s core mission.

Strong analytical skills, adept at research and writing, and impeccable attention to detail.

Excellent oral and written communication skills.

Research and synthesize trends, policy developments, key players and initiatives related to mission and programs.

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

7+ years of compliance experience, preferably at an SEC registered investment firm

Strong knowledge of the Advisers Act

• Periodic review of marketing and related materials, including case studies and educational materials.

• Assist in preparing and delivering internal compliance training/education sessions, including facilitating cross training within the team.

• Screen certain trading requests against the restricted trading List.

• Review and process requests related to employee personal trading/investing, investigate flagged items.

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

May coordinate visits from external collaborators/visitors. Manages housing arrangements, itineraries, and travel arrangements.

Approximately 2 years of prior related experience

As required under NYC Human Rights Law Int 1208-2018 - Salary range for this role when Hired for NYC Offices

Responsible for procurement activities related to goods, services, and/or equipment as needed.

Responsible for disbursement/reimbursement activities as needed.

Coordinates calendars and schedules appointments and meetings. Prioritizes requests for meetings and coordinates the necessary arrangements for meetings.

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.

1+ years of project management experience is a plus

Task management, ensuring that all open issues are kept properly documented, updated and moved expeditiously to resolution

Work alongside Program Compliance Managers, assisting with accounts and projects

Monitor, action and report on enforcement activities of advertiser client insertion order terms

Collaborate with internal departments and potentially external vendors, keeping the best interest of client and Impact in mind

Act as compliance, client-facing point of contact for advertiser client and relevant agencies

1-3 years of Healthcare Compliance experience

Confident self-starter with strong interpersonal and organizational skills, with a keen attention to detail

Outstanding written and oral communication skills and ability to work both in teams and independently

Supporting the general operations of the Compliance Function:

Assisting with execution of Monitoring and Auditing program and any outcomes resulting from monitoring (ie. Associated training, coaching, SOP updates)

Supporting Cross-functional projects and initiatives where Compliance needs to be involved

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

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