Compliance Training Associate Jobs

● Excellent interpersonal skills and conflict management skills

Computer fluency, particularly in Google Suite, Microsoft Office, project management

● Experience working with New York Continuing Legal Education

In addition to a competitive salary, NYIC offers a full benefit plan,

● Experience interfacing with external stakeholders

● Strong organizational skills, ability to prioritize projects and follow through on detail with high-level accuracy

Perform other educational and experience-related duties as outlined by the Education Department’s annual Work Plan or as outlined in grant applications.

Experience in sexual and reproductive health care, public health, and /or health education preferred.

Three (3) years of experience providing educational workshops and presentations

Represent the Education Department for selected internal and external committees, meetings and working groups.

Experience with small and large group facilitation and practice being responsive to audience needs, communication styles, and group dynamics.

Experience with curriculum and instructional design that is responsive to community input and intentionally brings an equity and access lens.

-Assess clients assets, liabilities, and overall financial conditions

-Able to complete licensing requirements within 30 days

PLEASE NOTE THIS IS AN INDEPENDENT CONTRACT 1099!

Ex Athletes & Ex Military are encouraged to apply!!

-Provide consultation to clients on financial strategies

-Present , presentations that showcase various financial products

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.

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.

- Experience with instructional design methodologies, e-learning tools, and learning management systems.

- Exceptional organizational and time management skills, with the ability to prioritize tasks and manage competing deadlines.

- Develop and implement a comprehensive compliance training strategy and roadmap aligned with regulatory and legal requirements.

- Manage multiple training initiatives simultaneously, coordinating resources, timelines, and deliverables to meet project goals.

- A recognised Compliance certification such as ACAMs or ICA is desirable

- Understanding or, and interest in Crypto/Digital Assets space is desirable

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

Performs other duties as assigned by account manager

Responsible for monthly training and drill metrics and reports (presented to client in monthly and quarterly meetings)

Create and implement a “train the trainer” program for OJT/New Hire training

Update and implement Supervisory Training Program

Maintain Incident Report standards and training

Integration of the AUS LMS system for the security team

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.

Expected Areas of Competence (i.e., knowledge, skills and abilities)

• Strong preference to those with experience working with Learning Management Systems

• Comfortable working with Learning Management Systems, and the Microsoft Office suite including Word®, Excel®, and Outlook®

• Leaders, Managers, & Supervisors

Monitor training request forms and work with managers to ensure task-specific assignments are processed.

• Experience working within a regulated industry is preferred.

Salary will commensurate with experience and education

Salary Range starting at $92,476.00

Successful candidate must be able to pass a background check. Please visit http://policylibrary.gatech.edu/employment/pre-employment-screening

Able to efficiently summarize analytic approaches and present insights and actions to management.

Flight benefits for you and your family to fly on Frontier Airlines.

Buddy passes for your friends so they can experience what makes us so great.

Share audit results with applicable Directors and Managers.

Bachelor’s degree or equivalent experience.

At least 2 years of corporate training, auditing, or equivalent analytical experience preferred.

Reasonable (1-3 years) experience in an animal care or research field and basic knowledge of regulatory compliance related to animal research.

Excellent written, verbal, and interpersonal communication skills.

Considerable (4-6 years) experience in animal research compliance and regulations.

Knowledge of quality assurance and regulatory affairs in animal research.

Knowledge of related Federal, State and University policies, procedures, and regulations.

Registered Laboratory Animal Technologist (RLATG) certification.

Minimum (2) years of legal and/or compliance-related experience preferred

Knowledge of Microsoft Office suite

Effective prioritization of multiple tasks and willingness and initiative to seek out and take on increasing responsibilities

Conducting periodic testing of key business policies, procedures, and regulatory obligations

Preparing formal reports summarizing test results and recommended opportunities for enhancement

Assisting the firm in developing and implementing policies and procedures across reinsurance and investment compliance landscape

· 3+ years of experience in a broker/dealer compliance role.

· Experience in general broker/dealer compliance

Broker Dealer looking to hire a Compliance Associate to join growing team.

· Focus on outside Business Activity, Private Security Transaction, and similar disclosures.

· Employee personal trading monitoring/surveillance

· BA or BS degree required.