Compliance Analyst
2 days ago
The Compliance Analyst primary function is to work directly with the Compliance team on developing, reviewing, implementing, and communicating corporate policies, procedures, trends and systems designed to enable Destination Wealth Management to effectively manage risk and remain in Compliance with current laws and regulations enacted by various regulatory authorities.
Duties and Responsibilities:
- Compile and analyze information to perform a variety of audits on the implementation of firm policies, including but not limited to reviews of new and terminated client accounts, fee schedules and billing, investment objectives, gifting, etc.
- Perform ongoing reviews to ensure terms outlined in formal agreements are accurately executed and ensure accuracy of data across Firm systems and databases.
- Assist with reviewing and updating policies and procedures meant to ensure compliance with applicable laws, maintaining up to date knowledge of the Investment Advisers Act, and current SEC rules and regulations.
- Review compliance policies, procedures and related documentation as required, communicating policies and guidelines to employees for training and education purposes.
- Maintain the Firm’s compliance reporting software platform and support system management including but not limited to: calendar management, creating case types, generating and distributing questionnaires, etc.
- Assist Compliance with completion of various tasks including, but not limited to, documenting disclosure updates, reviewing policies and procedures, conducting ongoing and annual OFAC reviews, ensuring compliance with statement delivery requirements and Due Inquiry reviews, etc.
- Assist with special project work and various legal & compliance initiatives.
- Conduct and document initial reviews of alleged compliance violations and escalate potential findings to the Chief Compliance Officer.
- Conduct periodic tests and audits of organizational operations.
- Identify gaps in documentation, or potential areas of non-compliance, and suggest possible means for resolution.
- Help research new rules and regulations and assist with implementing appropriate policies and procedures.
- Other duties as assigned.
Job Skills:
- Ability to communicate effectively both orally and in writing.
- Strong attention to detail and advanced organizational skills.
- Knowledge of compliance programs and industry requirements as they relate to registered investment advisory firms, and the financial services industry. Familiar with current compliance laws, regulations, and standards.
- Able to work well both independently and in groups; and take ownership of assigned tasks.
- Exceptional research and analytical skills.
- Demonstrated ability to effectively handle multi-tasking ability, able to project management skills, and the ability to manage multiple priorities.
Computer Equipment and Software:
- Advanced proficiency in all Microsoft Office products, including, but not limited to: Word, Excel, and Outlook.
- Experience with Salesforce CRM system and Orion strongly desired.
-
Compliance Analyst
3 days ago
Walnut Creek, United States Destination Wealth Management Full timeThe Compliance Analyst primary function is to work directly with the Compliance team on developing, reviewing, implementing, and communicating corporate policies, procedures, trends and systems designed to enable Destination Wealth Management to effectively manage risk and remain in Compliance with current laws and regulations enacted by various regulatory...
-
Compliance Analyst
1 day ago
walnut, United States Destination Wealth Management Full timeThe Compliance Analyst primary function is to work directly with the Compliance team on developing, reviewing, implementing, and communicating corporate policies, procedures, trends and systems designed to enable Destination Wealth Management to effectively manage risk and remain in Compliance with current laws and regulations enacted by various regulatory...
-
Compliance Analyst
23 hours ago
walnut, United States Destination Wealth Management Full timeThe Compliance Analyst primary function is to work directly with the Compliance team on developing, reviewing, implementing, and communicating corporate policies, procedures, trends and systems designed to enable Destination Wealth Management to effectively manage risk and remain in Compliance with current laws and regulations enacted by various regulatory...
-
Compliance Analyst
3 months ago
Battle Creek, United States FireKeepers Casino & Hotel Full timeResponsible for the thorough, timely and accurate completion of all audits, reviews, research/investigations, filings, notifications, and preparation/retention of all documentation in compliance with all FireKeepers Casino Hotel internal controls, po Compliance Analyst, Compliance, Analyst, Audit, Training, Technology, Reports
-
Environmental Services Analyst
2 weeks ago
Walnut Creek, United States FirstCarbon Solutions Full time $20 - $30Job DescriptionJob DescriptionFirstCarbon Solutions (FCS), an ADEC Innovation, is focused on improving the world we live in. It's our goal to improve the lives of all the people we work with, whether they are clients, partners, or colleagues. Come join our team of amazing professionals dedicated to making the world a better place!FCS is looking for an...
-
Compliance Analyst
3 weeks ago
Battle Creek, United States Firekeepers Casino Full timeDescription SCOPE OF POSITION: Responsible for the thorough, timely and accurate completion of all audits, reviews, research/investigations, filings, notifications, and preparation/retention of all documentation in compliance with all FireKeepers Casino Hotel internal controls, policies and procedures; Gaming Commission TICS; and Tribal, State and Federal...
-
Disbursement Financial Analyst
1 week ago
Walnut Creek, California, United States Berkshire Hathaway Homestate Companies Full timeAbout the RoleBerkshire Hathaway Homestate Companies is seeking a highly skilled Disbursement Financial Analyst to join our Accounting team. As a key member of our team, you will be responsible for effectively administering the disbursement of funds within the organization.Key ResponsibilitiesAssist with the day-to-day operations of the Company's accounts...
-
Environmental Services Analyst
6 days ago
Walnut Creek, United States FirstCarbon Solutions Full timeJob DescriptionJob DescriptionFirstCarbon Solutions (FCS), an ADEC Innovation, is focused on improving the world we live in. It's our goal to improve the lives of all the people we work with, whether they are clients, partners, or colleagues. Come join our team of amazing professionals dedicated to making the world a better place!FCS is looking for an...
-
Clinical Manager
7 days ago
Walnut Creek, California, United States Behavior Treatment & Analysis Full timeJob SummaryWe are seeking a highly skilled Clinical Manager to lead our team at Behavior Treatment & Analysis. As a Board Certified Behavior Analyst (BCBA), you will be responsible for overseeing the clinical operations of our region, providing guidance and support to our clinical staff, and ensuring the delivery of high-quality services to our clients.Key...
-
Disbursement Financial Analyst
3 days ago
Walnut Creek, California, United States Berkshire Hathaway Homestate Companies Full timeJob SummaryWe are seeking a highly skilled Disbursement Financial Analyst to join our team at Berkshire Hathaway Homestate Companies. As a key member of our finance department, you will be responsible for effectively administering the disbursement of funds within the organization, ensuring accurate and timely payments, maintaining financial records, and...
-
Environmental Specialist
8 hours ago
Walnut Creek, California, United States HDR Full timeAbout HDRAt HDR, we specialize in delivering innovative solutions in engineering, architecture, environmental, and construction services. Our multidisciplinary teams comprise scientists, economists, builders, analysts, and artists, making us a leader in our field. We are committed to creating an inclusive and diverse work environment, where everyone has the...
-
Survey Project Manager
7 days ago
Walnut Creek, California, United States NV5 Full timeJob SummaryNV5 is seeking a highly skilled Survey Project Manager to lead our geospatial operations team. As a key member of our organization, you will be responsible for planning, coordinating, and supervising survey projects to ensure they are completed accurately, on time, and within budget.Key ResponsibilitiesProject Planning: Collaborate with clients or...
-
Geospatial Operations Director
7 days ago
Walnut Creek, California, United States NV5 Full timeJob SummaryWe are seeking a highly skilled Survey Project Manager to join our team at NV5. As a Survey Project Manager, you will be responsible for planning, coordinating, and supervising survey projects to ensure they are completed accurately, on time, and within budget.Key ResponsibilitiesProject Planning: Collaborate with clients or stakeholders to...
-
Business Intelligence Analyst
1 week ago
Battle Creek, Michigan, United States Three Saints Bay, LLC Full timeJob SummaryThree Saints Bay, LLC, a leading Federal Government Contractor, is seeking a highly skilled Data Analyst II to join our team. As a Data Analyst II, you will play a critical role in providing extended training and guidance to entry-level data analysts and data entry personnel in managing information systems.Key ResponsibilitiesProvide in-depth...
-
Behavioral Healthcare Leader
7 days ago
Walnut Creek, California, United States Behavior Treatment & Analysis Full timeJob SummaryWe are seeking a highly skilled Clinical Manager to lead our team at Behavior Treatment & Analysis. As a Board Certified Behavior Analyst (BCBA), you will be responsible for overseeing the clinical operations of our region, providing guidance and support to our team members, and ensuring the delivery of high-quality services to our clients.Key...
-
Lead Financial Analyst
1 week ago
Battle Creek, Michigan, United States Jobot Full timeExceptional Compensation and Benefits This position is hosted by: Jobot Overview: We are seeking a talented and experienced Lead Financial Analyst to oversee intricate financial operations within a prominent manufacturing firm. This role is essential for ensuring precise financial reporting and supporting the organization’s fiscal goals. Why Consider This...
-
Commercial Manager
16 hours ago
Walnut Creek, California, United States HDR Full timeAbout the RoleAt HDR, we are seeking an experienced professional to join our Northern California Water Business Group (WBG) as a Commercial Manager. This role will play a critical part in the success of our projects and programs, ensuring that we deliver high-quality services to our clients while maintaining a strong commercial focus.Key...
-
Program Analyst
7 days ago
Little Creek, Delaware, United States American Systems Full timeAbout the Role:We are seeking a highly skilled Program Analyst to join our team at American Systems. As a Program Analyst, you will play a critical role in supporting the development and implementation of our programs.Key Responsibilities:Analyze project requirements, statuses, budgets, and schedules to ensure timely and within-budget delivery.Perform...
-
Data Analyst
5 days ago
Battle Creek, Michigan, United States WK Kellogg Co Full timeAbout the RoleWe are seeking a highly skilled Data Analyst to join our Research and Development team at WK Kellogg Co. As a Data Analyst, you will play a critical role in managing and updating obsolete data items, building and processing new data objects, and ensuring data integrity and accuracy.Key ResponsibilitiesManage and update data items to support...
-
Construction Loan Operations Specialist II
2 weeks ago
Walnut Creek, California, United States Umpqua Bank Full timeAbout Umpqua Bank:Umpqua Bank, a prominent financial institution based in the Pacific Northwest, employs over 5,000 individuals and provides a range of banking services nationwide. Following a recent merger with Columbia Bank, we have solidified our position as a leading regional bank with more than $50 billion in assets, dedicated to our employees, clients,...