Compliance Programs Compliance Associate Jobs

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.

One- to three-years of work experience requirement, performing in a similar capacity requiring a high level of detail and organization

Monitor and manage salary negotiation and programs email inboxes; respond to requests as assigned

Manage Programs Team tracker and participate in staff meetings or workgroups as assigned

Monitor and disseminate business leads to the appropriate manager for revenue-generating opportunities

Demonstrated strong oral and written communication skills

Excellent customer service skills and interpersonal communications skills

Supports consulting projects in strategic planning and implementation, performance management, and program management and analysis

Develop consulting skills and help grow the company outside of your project by participating in new business and strategic initiatives

2-3 years of relevant experience in a project environment, preferably consulting, to design and implement strategies, performance measures, and innovative solutions

Experience in process improvement, meeting and stakeholder engagement support, and/or program analysis

Direct experience with client and stakeholder engagement (including senior-level leaders) and delivering work products for clients in a complex stakeholder environment

Proven to be flexible and thrive in a dynamic, ambiguous, and complex work environment and manage multiple tasks and projects simultaneously

Help oversee and manage program applications, lead testing data, file transfers with state agencies, and reporting requirements.

Provide customer support and education to child care providers as needed.

Bachelor’s degree or equivalent experience required

1-3 years of experience in water, public health, public policy, urban planning, and/or environmental sciences

Knowledge and expertise on lead testing protocols and mitigation strategies highly desired

Excellent customer service and verbal/written communication skills

· 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.

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

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

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

· 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

Identify, assess, monitor ethical compliance risks and requirements applicable to the trading and origination business;

Monitor trading activity on exchanges to ensure alignment with Exchange rules and regulatory requirements in various jurisdictions

Build strong working relationships with other E&C team members to ensure effective knowledge sharing and timely resolution of questions or incidents;

5-7 years of related experience.

Knowledge and understanding of traded products, markets and strategies, both physical and paper based trading

Demonstrated knowledge of US exchange rules and CFTC regulatory reporting rules

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.

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)

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

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

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

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.

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

Exceptional interpersonal skills and ability to work with all levels of management.

Fielding inquiries from employees and management on compliance matters

Bachelor’s degree required. Advanced degree or certification preferred.

Drafting and maintaining policies, procedures, and training materials to enhance program efficiency, employee understanding, and mitigate related risk.

Assisting in the annual review of compliance policies and procedures

Working with technology teams (including the creation of spec documents) to develop automated solutions that will enhance the compliance infrastructure.