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Portfolio Compliance Analyst Jobs in Mountain View, Santa Clara, California

Compliance Analyst Jobs
By Intuit At Mountain View, CA, United States

This position will be part of the Intuit Compliance Organization within the overall Legal Team. The compliance program is global and covers all Intuit Inc. products and services. We are a hardworking, ...

Compliance Analyst Jobs
By The TCW Group At Los Angeles, CA, United States
Excellent written and verbal communication skills; possess strong telephonic, data entry and proofing skills
2 to 5 years of relevant investment operations, compliance and/or paralegal experience in financial services industry related to compliance responsibilities
Exceptional analytical and investigative skills, experience partnering with business and investment colleagues and aptitude for working efficiently in large organizations
Contact employees to ensure timely filings of initial, quarterly, and annual certifications
Must have outstanding attention to detail and organization skills; possess the ability to spot issues and respond timely
Experience with fixed income and various investment products including open-end funds, closed-end funds, ETFs, and private funds
Compliance Analyst 1 Jobs
By Firstsource Healthcare At , Thousand Oaks
Excellent organizational skills and attention to detail.
Excellent written and verbal communication skills.
Knowledge of Microsoft Office Suite, including Excel and Outlook
Process inbound mail correspondence for all clients.
Review and process complaints, disputes, debt validation, and fraud claims for all clients.
Act as the liaison between law firms and clients to report and resolve the items listed above.
Compliance Operations Analyst Jobs
By OpenAI At San Francisco, CA, United States
Excellent project management skills, with a track record of having delivered on complex initiatives in a fast-moving environment.
Experience operationalizing workflows to increase responsiveness with an eye toward continuous process improvement.
Experience in GRC, security, or security-adjacent fields.
Experience developing and navigating technical and compliance documentation and contract language.
Strong written communication and customer service skills with an ability to engage across all levels of internal and external leadership.
Ability to empathize and collaborate with colleagues, independently manage and run projects, and prioritize efforts for risk reduction.
Customer Compliance Analyst Jobs
By Deckers Brands At , Westlake Village, Ca
Self-driven with a high degree of autonomy, inquisitiveness, and discipline with respect to time and priority management
Knowledge of Vendor Compliance and Distribution concepts, preferably in US Retail to include footwear/apparel/accessory retailers or suppliers
Detail-oriented with strong analytical and problem-solving skills
2. Conduct research of non-compliance penalties, analyzing trends for root cause understanding, and monitoring wholesale operational performance
Excellent written and verbal communication
Proficiency in Microsoft Office, specifically with Excel for data analysis & interpretation
Portfolio/Research Analyst Jobs
By Selby Jennings At Los Angeles Metropolitan Area, United States

At least 2+ years of experience ideally in a Portfolio Analyst or Research Analyst position

A quantitative educational background preferred

Compliance Data Analyst Jobs
By Lyft At San Francisco, CA, United States
Define metrics and produce accurate reports and data analysis in a timely manner to meet contractual and regulatory requirements
3+ years of relevant experience:
Experience with Python/R or other statistical programming language
Experience with git/github or other version control software
Knowledge of ETL concepts and data warehousing procedures, knowledge of Apache Airflow
Knowledge of Tableau or any other data analysis dashboard is preferred
Portfolio Strategy Analyst Jobs
By Capital Group At Los Angeles, CA, United States
Demonstrates a proficient understanding of investment products, asset allocation, securities operations, and the servicing requirements of accounts.
Exhibits passion and experience with investment instruments, markets, and the investment process.
Demonstrates intellectual curiosity, quantitative capability, and excellent analytical and problem- solving skills.
Demonstrates ability to be self-motivated and take initiative, and a commitment to continuously improve skills and self.
2-3 years ' experience, preferably in an analytical role.
4-year degree, ideally in a quantitative field (i.e., mathematics, finance, or economics).
Compliance Analyst Jobs
By Intuit At San Diego, CA, United States
Strong project management skills with the ability to manage multiple projects simultaneously.
Compliance, risk management, expense management and/or audit
Third party risk management and related compliance considerations, including due diligence, purchasing and expense management systems
Reviewing and decisioning of third-party risk management legal compliance processes against applicable policies, standards and guidelines.
Minimum of four (4) years of direct work experience in:
Flexibly assist in other areas of concern to benefit Intuit’s legal compliance posture.
Compliance Analyst Jobs
By First Entertainment Credit Union At West Hollywood, CA, United States
Experience in financial services compliance, audit, credit union/ bank operations, or risk management within the financial services industry
Provide support on Vendor Management to ensuring risk assessments and due diligence are performed on all vendors
Thorough knowledge of Credit Union products and services, procedures and guidelines, and field of membership requirements
In-depth knowledge of regulations applicable to essential responsibilities
Strong problem-solving skills to effectively research, investigate, and offer solutions to issues that are more complex and difficult in nature
Ability to interact effectively with all levels of management, legal counsel, law enforcement, regulators, auditors and examiners, while maintaining strict confidentiality
Analyst, Portfolio Analytics Jobs
By Bellwether Asset Management, Inc. At El Segundo, CA, United States
Requires active listening, critical thinking, making decisions, time management, as well as administration skills.
Actively engage and coordinate deliverables with Asset and Portfolio management teams
Ability to manage and organize large amounts of data and communications
Advanced Excel and PowerPoint skills
Experience in Tableau is a plus
Bachelor’s degree is required, preferably in Finance, Economics or Engineering fields
Portfolio Operations Analyst Jobs
By Los Angeles Capital Management LLC At Los Angeles Metropolitan Area, United States
An understanding or desire of finance and/or asset management
Respond to on-going data and reporting requests from senior management
Daily reconciliation, security settlement and securities processing that requires acute attention to detail and excellent verbal and written communication skills
Keep manager and team leads updated on progress of work and communicate issues/delays timely to avoid missed deadlines
A Bachelor’s degree in finance, business administration, or related field
A minimum of 2 years of professional work experience
Compliance Analyst I (20611) Jobs
By Agua Caliente Casinos At Rancho Mirage, CA, United States
Such other compliance related responsibilities that may be assigned from time-to-time by the Compliance Manager
BSA auditing or casino accounting experience preferred
Advanced knowledge of Microsoft Excel is required
Strong verbal and written communication skills
Perform technical, analytical and detail orientated work related to gaming records, activities and patterns to identify possible suspicious activity
Prepare detailed investigative reports for all incidents of possible suspicious behavior
Compliance Analyst Jobs
By California Health & Wellness At , Sacramento, Ca $51,600 - $92,900 a year
Communicate state and federal requirements to internal and external clients.
1+ years of related experience in compliance, privacy and/or regulatory affairs.
Working knowledge of laws and/or regulations in area of compliance; in particular HIPAA, and state regulations.
Regulatory research and analysis experience strongly preferred
Respond to external requests for information required by the organization for its regulatory filings.
Respond to inquiries from state and federal regulatory agencies.
Compliance Analyst Jobs
By UCLA Health At , Los Angeles, 90095, Ca $76,900 - $150,900 a year

Description As a key member of our Office of Compliance Services, you will help advance our culture of trust while ensuring compliance with relevant laws and regulations. In this role, you will ...

Research Compliance Analyst Jobs
By University of California, Riverside At , Riverside, 92521, Ca $56,800 - $99,200 a year
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.
Compliance Analyst Jobs
By Affirm At , San Francisco, Ca
Strong project management, critical thinking, and analytical skills.
Support other key compliance and risk management projects as needed.
Assist with the ongoing compliance testing activities on adherence to compliance program and federal/state regulatory requirements.
1-2 years of professional work experience in Compliance Testing, Quality Assurance, or Audit preferred.
Proficient computer navigation skills using a variety of software packages, including Google docs, word processing, and spreadsheets.
Work closely and cross functionally with multiple departments (Compliance Risk Legal Product, etc) while completing reviews.
Junior Compliance Analyst Jobs
By Ubiquity Retirement + Savings At , San Francisco, 94104, Ca $60,000 - $70,000 a year
Basic knowledge of non-discrimination testing, annual form 5500 preparation and filing, and annual Profit Sharing and Safe harbor benefit calculations.
2-5 years experience in retirement industry, preferably in a compliance role
Take ownership of Plan Sponsor compliance related questions and issues and follow problems through to resolution
Ensure timely execution of time-sensitive team functions
Keep accurate records and document customer service actions and discussions
Annual non-discrimination testing including but not limited to ADP/ACP, 401(a)(4), Top Heavy determination, and 410(b) coverage testing
Chargeback Analyst, B2B Compliance
By TOMS Shoes At , Los Angeles, 90066, Ca $31.25 - $33.65 an hour
Understanding of wholesale order management and distribution requirements
Maintain database of customer chargeback schedules as they pertain to the agreed upon vendor compliance requirements
Experience using ERP systems, SAP preferred
Strong wholesale Customer Service, Compliance, or Chargeback experience, preferably in the apparel or footwear industry
Knowledge of order to cash processes
Excellent analytical skills and ability to analyze report data to make informed decisions
Senior Portfolio Analyst Jobs
By Selby Jennings At Miami, FL, United States
Assist with portfolio management, construction, optimization, and analysis.
Provide recommendations and improvements for the portfolio through a quantitative lens.
Lead internal and external discussions with team members & investors regarding portfolio performance and initiatives.
Find patterns in data and make predictions about future market movements
Designing, researching, and managing sophisticated investment strategies through the creation of advanced quantitative models
Bachelor's degree from a top university with a strong GPA
China Portfolio Analyst Jobs
By Two Sigma At New York, NY, United States
4-8 years of experience in investment management, preferably in a portfolio-facing role focused on China and/or systematic investment strategies
Contributing to the business's success requires ownership of an expansive range of responsibilities including, but not limited to:
Solid quantitative and technical abilities
Core Benefits: Fully paid medical and dental insurance premiums for employees and dependents, competitive 401k match, employer-paid life & disability insurance
You Will Enjoy The Following Benefits
Driving longer-term strategic business initiatives
Data/Portfolio Analyst Jobs
By Rose International At United States
• Knowledge of CoStar Real Estate Manager (portfolio and projects modules) a plus
• 3-5 years relevant work experience, with at least 3 years in commercial/corporate real estate/lease administration
Job Title: Data Analyst/ Portfolio Analyst
Duration: 4 months with possibly an extension
• Responsible for real estate data analysis and delivery
• Review of lease-related critical dates for distribution
Compliance Operations Analyst Jobs
By UC Health At , Cincinnati, 45229
Experience in compliance is preferred.
1 - 2 Years equivalent experience is preferred.
Excellent written and oral communication skills
Receive patient and associate complaints and maintain databases to track potential and/or actual violations of law or policy and reporting obligations.
Maintain Compliance Department electronic systems and build reports for data monitoring and reporting.
Provide training support for all training modalities: computer based training, new associate orientation, new leader orientation and in-service training.
Portfolio Analyst Jobs
By Deutsche Bank At , Chicago
Meet regularly with, and present recommendations/written summaries to Portfolio Managers; interact with investment management/research staff/brokers/company management/traders/outside investment analysts/etc.
Work closely with other analysts and portfolio managers to assist in company and sector analysis
BA or BS required with 0-2 years work experience
Experience and advanced understanding of Excel/VBA
Strong interpersonal skills with the ability to work autonomously and within a close group setting
A range of flexible benefits including Retail Discounts, Commuter Discounts and Gym benefits
Compliance Analyst Jobs
By PJT Partners At , New York, 10017 $75,000 - $90,000 a year
Strong research skills are preferred.
Excellent organization and execution skills with the ability to work efficiently and independently under demanding deadlines.
Advanced skills in PowerPoint, Excel and report building.
Strong analytical, written, and verbal communication skills.
Day to day responsibilities may include, but not limited to:
Continuously develop and improve the monitoring methodology and overall approach.
Portfolio Investment Analyst Jobs
By Fanning Personnel, a Division of Masis Staffing Solutions At Boston, MA, United States

Strong comp package and a full suite of benefits.

3+ years within financial services, proficiency with Factset, Morningstar Direct and Bloomberg all a plus!

Analyst-Compliance Jobs
By Amex At , New York $55,000 - $105,000 a year
Project management experience, especially including cross-organizational coordination on large and complex projects a plus
Strong Microsoft Office skills required
Understanding/Experience of the supervisory processes of federal bank regulators
Bachelor’s degree required, advanced degree a plus or equivalent work experience
Comprehensive medical, dental, vision, life insurance, and disability benefits
20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
Compliance Analyst Jobs
By Qgiv At Lakeland, FL, United States
Conduct training and education sessions for employees to promote a culture of compliance
Minimum of 2 years of experience in compliance or a related field
Knowledge of laws and regulations applicable
Excellent analytical and problem-solving skills
Strong communication and interpersonal skills
Experience with compliance software and tools is a plus
Compliance Analyst Specialist Jobs
By FIS Global At , Brown Deer, 53223
Maintains knowledge of applicable laws and regulations.
Offers guidance on implementing regulatory changes.
Communicates detailed requirements to LOB, validate solution approach and monitor status.
Monitors LOB compliance activities to verify that regulatory compliance deadlines and requirements are met.
Comprehensive knowledge of at least one substantive area of compliance, such as banking regulations, anti-money laundering, or anti-corruption
Monitors and communicates regulatory changes that impact FIS products, services and business activities.
Rrc - Compliance Analyst I - Well Compliance Unit
By RAILROAD COMMISSION OF TEXAS At , Austin, 78701 $3,300 - $3,800 a month
Education and experience may be substituted for a year-to-year basis.
Retirement pension with a 150% agency match – you can watch this YouTube video that describes this amazing benefit https://www.youtube.com/watch?v=AJI6M7g73-w
Experience in research, compliance analysis or monitoring, legal analysis, and/or auditing work.
General knowledge of Oil and Gas documents, procedures, and division functions.
Working knowledge of Oil and Gas rules and regulations.
General knowledge of GIS systems.
Data Analyst, Compliance Jobs
By current At , New York, 10011 $105,000 - $145,000 a year
Excellent communication, requirement gathering and prioritization skills.
Some statistical analytics knowledge and experience.
Drive compliance related data modeling requirements for analytics and data engineers
3+ years of experience working in the data analytics/business intelligence domain
1+ years of experience building data models, reports and dashboards in BI tools(preferably Looker)
Experience in defining and building meaningful metrics and KPIs.
Portfolio Strategy Analyst Jobs
By M&T Bank At New York, NY, United States

Contribute to the Asset Management- Quant Team, responsible for developing quantitative multi-asset models and individual equity strategies, and performing quantitative research regarding asset ...

Analyst, Business Compliance Jobs
By National Grid At , Melville $78,000 - $87,400 a year
Develop and Manage a robust Workplan surrounding Federal and State Gas Requirements
A Bachelor’s degree in Business Administration, Accounting, Engineering or relevant work experience.
National Grid is hiring a Analyst for our Business Compliance Department in Melville, NY.
Communicate with Control Business Owners to Ensure Compliance
Present Findings at Monthly Meetings to Leadership
Utilize GRC Archer to Track Findings, Risks, and Recommendations.
Portfolio Analyst Jobs
By Ballentine Partners, LLC At , Palm Beach Gardens, 33410, Fl $70,000 - $100,000 a year
Providing manager research support as necessary
Has strong communication skills, verbal and written
Has excellent interpersonal & relationship skills including a positive and collegial attitude
The right candidate will be someone who has the following skills:
Supporting Senior Investment Advisors (SIA) in all investment matters
Constructing portfolio trading programs for approval by SIAs
Portfolio Analyst Jobs
By Jobot At Cambridge, MA, United States
Stay abreast of market trends and developments in commercial real estate and apply this knowledge to portfolio management.
Collaborate with cross-functional teams to develop strategies for portfolio growth and risk management.
Prepare and present regular portfolio performance reports to senior management.
Strong organizational skills with the ability to manage multiple projects simultaneously and meet deadlines.
Strong Dental and Vision benefits
Bachelor's degree in Finance, Real Estate, or a related field.
Portfolio Data Analyst Jobs
By JKB Advisors At New York, NY, United States
Experience with data management, data analytics, and data quality
Prepare and analyze data to create and generate reports and documents used in the portfolio management processes
Manage, analyze, and review data quality (internal and external data sources)
Leverage technology capabilities to automate and increase efficiencies with reporting and analysis
2 - 3 years of experience in an investment-related field and understanding of investment portfolios/process
Familiarity with SQL and data visualization tools
Compliance Analyst Specialist Jobs
By FIS Global At , Brown Deer, 53223, Wi
Maintains knowledge of applicable laws and regulations.
Offers guidance on implementing regulatory changes.
Communicates detailed requirements to LOB, validate solution approach and monitor status.
Monitors LOB compliance activities to verify that regulatory compliance deadlines and requirements are met.
Comprehensive knowledge of at least one substantive area of compliance, such as banking regulations, anti-money laundering, or anti-corruption
Monitors and communicates regulatory changes that impact FIS products, services and business activities.
Compliance Analyst I Jobs
By Cherokee Federal At , Washington, 20001, Dc $95,207 - $98,207 a year
Compliance Analyst I Experience, Education, Skills, Abilities requested:
Bachelor's Degree or combination of education and at least 2 years of regulatory compliance and ITAR experience
Ability to synthesize information and develop recommendations for management.
Review license requests referred from DTCL to ensure compliance with registration requirements.
Good interpersonal skills and ability to resolve disputes in a timely and professional manner.
Good written and verbal communication skills and presentation skills. Writing samples may be required.

Are you looking for an exciting opportunity to use your compliance expertise to help protect the interests of investors? We are seeking a Portfolio Compliance Analyst to join our team and help ensure our clients' portfolios are compliant with all applicable regulations. You will be responsible for monitoring and analyzing portfolio holdings, transactions, and other activities to ensure compliance with applicable laws and regulations. If you are a detail-oriented professional with a passion for compliance, this is the perfect job for you!

A Portfolio Compliance Analyst is responsible for ensuring that a portfolio of investments meets all applicable laws and regulations. They must have a thorough understanding of the financial markets and the regulations that govern them.

What is Portfolio Compliance Analyst Skills Required?

• Knowledge of financial markets and regulations
• Analytical and problem-solving skills
• Attention to detail
• Excellent communication and interpersonal skills
• Ability to work independently and as part of a team
• Proficiency in Microsoft Office Suite

What is Portfolio Compliance Analyst Qualifications?

• Bachelor’s degree in finance, economics, accounting, or a related field
• Relevant professional certifications (e.g. CFA, CPA, etc.)

What is Portfolio Compliance Analyst Knowledge?

• Knowledge of financial markets and regulations
• Understanding of investment strategies and portfolio management
• Familiarity with financial analysis and reporting

What is Portfolio Compliance Analyst Experience?

• Previous experience in a compliance or risk management role
• Experience in portfolio management or financial analysis

What is Portfolio Compliance Analyst Responsibilities?

• Monitor portfolio investments to ensure compliance with applicable laws and regulations
• Analyze financial data to identify potential risks and compliance issues
• Prepare reports and presentations to summarize findings
• Develop and implement policies and procedures to ensure compliance
• Monitor changes in regulations and update policies