Compliance Research Associate Jobs

Perform data entry alongside current data quality standards

At least 1 years’ experience in a legal, compliance or risk function within financial services

Ideally experience in one of the following disciplines: Prudential Risk, Regulatory Compliance, Information security, Data Privacy, Technology Risk

Gather regulatory information at the request of clients from a range of sources.

Input necessary regulatory information into the firm’s product, including citations and relevant extracts.

Monitor legal and regulatory developments of assigned regions and industries

Knowledge of HSP, bio-safety, and COI requirements

Develop a compliance training program, ensuring it meets regulatory requirements, and ensures that it is completed by appropriate staff members

5-10 years of human subjects/regulatory, and compliance monitoring/oversight experience

Working knowledge of U.S. Federal government regulations regarding the Protection of Human Subjects Involved in Research

Demonstrated expertise in the Human Subject Protection (HSP) regulations with monitoring and compliance program experience

Provide guidance and counsel on incorporating compliance-related activities into the day-to-day operations of the Human Research Protection Program

Use excellent time management skills and work on multiple projects on deadline.

Use strong writing skills to convey a professional tone with exceptional attention to grammar, syntax, and spelling.

Proficient knowledge of Microsoft Office Suite (Word, Excel, PowerPoint, Outlook, Teams), Box cloud storage, Zoom videoconferencing, and Adobe Acrobat.

Use of excellent communication and interpersonal skills.

Two or more years of experience as a paralegal, regulatory, compliance, research, or related field.

Ability to learn new software applications.

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.

Experience working with partner organizations to achieve compliance requirements

An equivalent combination of education and experience may be considered.

Experience with research compliance, preferably in an academic environment

Experience managing quality assurance and compliance with program standards

Benefits of working at Temple University include:

Click here to learn more about the benefits of working at Temple University.

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.

· 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.

Manages the process of sponsored protocol applications.

Ensures programs maintain compliance with PHS Policy, the Animal Welfare Act & Regulations, and other requirements.

Maintains all IACUC records (e.g., membership requirements; protocol, amendment, and annual reviews and approvals; research staff training records; and Interinstitutional Assurances).

Demonstrated knowledge of research compliance, privacy, IRB, HIPAA, NIH and OHRP regulations and policies.

Advanced knowledge and ability to work on Microsoft applications, including Word, Excel, Access, and PowerPoint.

Minimum of 5 years previous relevant experience required.

100% paid medical premiums for our full-time employees

The longer you stay, the more vacation you’ll accrue!

Longevity Pay (Monthly payments after two years of service)

Build your future with our awesome retirement/pension plan!

Free financial and legal counseling

Free mental health counseling services

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

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

Supports Regional Product Management team and Product Management leadership in the development of strategy with the Legal and Government Affairs divisions.

Requirements: Experience with above plus 2+ yrs. of experience in the following:

Reviews marketing, advertising and education materials for content accuracy as it relates to commercial contract coverage.

Experience with Personal Lines regulatory research and contract/documentation creation (auto, umbrella, and specialty lines- Cycle, Rec & Hobby, and Boat products.)

Experience with contract writing and forms creation.

Responds to potentially high impact governmental or regulatory inquiries (e.g., market conduct examinations, state mandated surveys, and consumer complaints).

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

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.

Manages the process of sponsored protocol applications.

Ensures programs maintain compliance with PHS Policy, the Animal Welfare Act & Regulations, and other requirements.

Maintains all IACUC records (e.g., membership requirements; protocol, amendment, and annual reviews and approvals; research staff training records; and Interinstitutional Assurances).

Demonstrated knowledge of research compliance, privacy, IRB, HIPAA, NIH and OHRP regulations and policies.

Advanced knowledge and ability to work on Microsoft applications, including Word, Excel, Access, and PowerPoint.

Minimum of 5 years previous relevant experience required.

Bachelor's degree in related area and/or equivalent experience/training.

Relevant compliance certification (if applicable).

2 - 4 years of related experience.

UC Riverside is the top university in the United States for social mobility. - U.S. News 2020

Among top-tier universities, UC Riverside ranks No. 2 in financial aid. - Business Insider 2019

UCR's distinguished faculty boasts 2 Nobel Laureates, and 13 members of the National Academies of Science and Medicine.

Minimum Knowledge, Skills, and Abilities (KSA) :

Preferred Knowledge, Skills, and Abilities (KSA) :

Bachelor’s degree in related area and / or equivalent experience / training.

Basic knowledge of relevant federal (FDA, OHRP, NIH), state, organizational and system policies, and human subjects research concepts.

Excellent written and oral communication skills (clarity, sentence / paragraph construction and grammar, et cetera).

Problem solving skills; multi- task, work with frequent interruptions, effective listener. Excellent customer service skills, pleasant, helpful, and patient.