Compliance Associate

4 weeks ago

Greenwich, United States RightWorks Staffing Full time

Compliance Associate

Responsibilities

  • Conduct compliance reviews in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks
  • Develop and maintain effective partnership with the Front Line Unit, Risk, and Compliance teammates the subservicers and the testing vendor
  • Evaluating and documenting results of test work
  • Plan inspections and reviews by assessing key risks pertinent to the business, gathering records, developing detailed test plans and analyzing the information to identify control issues
  • Supervise team members, as applicable, relating to the completion of testing and the review of documentation
  • Support business unit management by researching questions or handling compliance-related issues as they arise, escalating when appropriate
  • Working with business compliance officers and management to agree on appropriate action plans
  • Writing reports presenting review results, articulating the rationale for findings, the risks posed and actions required to address those risks
  • Following-up on action plans to verify that corrective action has been effectively implemented
  • Meeting standards for delivering high quality value added compliance risk reviews
Qualifications
  • The job holder is expected to lead the development and management of assurance activities to ensure the Bank complies with OSFI's E-13 guidelines with minimal guidance
  • 2+ years with the SEC, FINRA, an exchange, law firm, or another broker-dealer
  • Electronic Trading Experience
  • Knowledge of broker-dealer, investment adviser and/or mutual fund/variable product rules and regulations
  • Ability to multi-task with minimal supervision.
  • Ability to work in a small-team environment as well as independently.
  • Ability to coordinate with other control areas, such as Internal Audit and Risk Management
  • Solid academic background
  • Excellent degree of comfort and fluency with technology and computers.
  • Understanding of how technology is applied to regulation and business.
  • Brilliant oral and written communication skills.
  • Ability to develop compliance solutions within regulations and with sound business judgment.
  • Must have industry regulations or a member of the bar in good standing of any US state or the District of Columbia preferred.


#LI-Hybrid

#LI-BC1

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