Quality Compliance Associate Jobs in New York

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

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

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

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

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

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

Continue to develop and lead Palantir’s Quality Management System (QMS).

Author and ensure implementation of approved procedures across the organization, setup non-conformance and CAPA processes to monitor deviations and management reporting.

Support Implementation of internal applications/systems supporting QMS processes like Document Management System and Learning Management System.

Experienced knowledge of QMS in a GxP environment.

Excellent presentation skills with ability to develop training materials and train employees, as well as experience writing SOPs and work instructions.

Knowledge of FDA and EU regulatory requirements and other guidelines related to GxP activities, including 21 CFR Part 11.