Compliance Specialist

6 days ago

Bronx, New York, United States 4352 DWS Investment Management Americas, Inc. Full time

About 4352 DWS Investment Management Americas, Inc.

DWS Investment Management Americas, Inc. is a leading investment management company that provides innovative investment solutions to clients around the world. Our team of experts is dedicated to delivering exceptional results and building long-term relationships with our clients.

Job Summary

We are seeking a highly skilled and experienced Senior Compliance Officer - Institutional Sales Coverage to join our team. The successful candidate will be responsible for providing compliance expertise and advice to our business partners, building consultative working relationships, and ensuring that our sales practices comply with relevant regulations.

Key Responsibilities

  • Provide compliance expertise and advice to business partners, helping them to meet their business objectives while ensuring compliance with relevant regulations.
  • Assist business partners in developing and updating written supervisory procedures to ensure compliance with relevant SEC, FINRA rules, and other applicable laws.
  • Conduct annual risk assessments to identify potential risks and assist business managers in mitigating such risks.
  • Develop and recommend workable action plans for correcting weaknesses identified in written supervisory procedures.
  • Develop, implement, monitor, and report on internal compliance systems and processes utilized for institutional sales coverage to ensure compliance with applicable SEC rules, FINRA rules, federal and state securities regulations, and other applicable laws.
  • Provide advice to the marketing review team on the review of broker-dealer and investment advisory materials, and provide advice to the business on the creation and positioning of marketing materials.
  • Provide analysis and guidance to institutional sales coverage regarding any cross-border solicitation activities regarding securities products and asset management services.
  • Assist the Chief Compliance Officer with conducting the Annual Certification of Compliance and Supervisory Processes requirements under FINRA Rule 3130.
  • Provide analysis and guidance to institutional sales coverage regarding any potential lobbying activities.
  • Assist the Chief Compliance Officer in coordinating with business managers to update and maintain broker-dealer's Form BD with FINRA.
  • Assist the Chief Compliance Officer with any regulatory examinations and inspections by FINRA or other SROs.
  • Conduct annual training, including the Annual Compliance Meeting and other ad hoc training.
  • Manage the escalation of emails of institutional sales coverage team members and escalate to the Chief Compliance Officer as appropriate.
  • Lead projects related to new regulations as needed.
  • Coordinate with central compliance functions to address internal client and business line compliance needs.
  • Actively participate in working groups, including leading working groups as necessary.

Requirements

  • Bachelor's degree required.
  • 5 to 7 years of compliance experience with experience as a Compliance Officer/Advisor for a broker-dealer and/or registered investment advisor.
  • Fluent in all FINRA and SEC issues and concerns.
  • Demonstrated expertise with financial services regulatory schemes, including SEC and FINRA rules and regulations. Knowledge of securities products.
  • Strong experience in sales practice compliance required; working knowledge of the Global Investment Performance Standards (GIPS) a plus.
  • Experience reviewing marketing and advertising collateral in accordance with relevant FINRA and/or SEC regulations.
  • Excellent analytical skills, sound judgment, and strong attention to detail.
  • Ability to exercise independent, and informed judgment.
  • Outstanding written and verbal communication skills, with demonstrated ability to think analytically and strategically to solve problems and implement solutions.
  • Able to meet deadlines and handle multiple matters simultaneously.

Preferred Qualifications

  • Series 7 and 24 licenses preferred.

What We Offer

We offer a competitive salary range of $116,250-$200,000, depending on experience. We also offer a range of benefits, including a matched 401(k) savings plan, generous paid time away, physical and mental health well-being benefits, family-friendly benefits, and the opportunity to support our CSR strategy.

Work Environment

We promote a diverse, supportive, and welcoming work environment that reflects a variety of perspectives, insights, and backgrounds. We encourage our people to develop to their full potential and offer flexible work arrangements and other initiatives to support work-life balance.

  • Senior Coding Compliance Specialist

    4 days ago

    Bronx, New York, United States Tal Healthcare Full time

    Job SummaryOur client, a leading academic medical center, is seeking a Senior Coding Compliance Specialist to join their team. As a key member of the compliance department, you will be responsible for ensuring the accuracy and integrity of medical coding and billing practices.Key ResponsibilitiesParticipate in external government audits, including the OMIG,...

  • OSHA Compliance Specialist

    1 week ago

    Bronx, New York, United States Menotti Enterprise, LLC Full time

    About the Role:We are seeking a highly skilled and experienced OSHA Compliance Specialist to join our team at Menotti Enterprise, LLC. As a key member of our safety team, you will be responsible for providing training and education on Occupational Safety and Health Administration (OSHA) regulations and best practices to our employees.Key...

  • Compliance and Investigations Specialist

    2 weeks ago

    Bronx, New York, United States City of New York Full time

    About the Organization: The mission of the City of New York is to ensure effective governance for all residents. The Department of Citywide Administrative Services (DCAS) plays a pivotal role in this mission by managing essential city infrastructure and resources. Role Overview: The Citywide Equity and Inclusion (CEI) division is dedicated to guiding city...

  • Compliance and Sanctions Specialist

    6 days ago

    Bronx, New York, United States 4352 DWS Investment Management Americas, Inc. Full time

    About 4352 DWS Investment Management Americas, Inc.We are a leading asset management company with a global presence, dedicated to providing innovative investment solutions to our clients. Our team is passionate about delivering exceptional results and making a positive impact on the world.Job SummaryWe are seeking a highly skilled and experienced...

  • Senior Compliance Audit Specialist

    2 weeks ago

    Bronx, New York, United States Tal Healthcare Full time

    Position OverviewThe Senior Coding Compliance Auditor plays a critical role in ensuring adherence to regulatory standards and internal policies. This position involves:Engagement in External Audits: Actively participate in audits conducted by government entities such as OMIG, OIG, AG, and OSC.Communication with Regulatory Agencies: Serve as a liaison with...

  • Senior Compliance Audit Specialist

    2 weeks ago

    Bronx, New York, United States Tal Healthcare Full time

    Position OverviewThe Senior Coding Compliance Auditor plays a crucial role in ensuring adherence to regulatory standards within the healthcare sector. This position involves engaging with external government entities during audits, such as the OMIG, OIG, AG, and OSC.Key ResponsibilitiesFacilitate communication with external agencies throughout the audit...

  • Construction Safety Specialist

    1 week ago

    Bronx, New York, United States Menotti Enterprise, LLC Full time

    About Menotti Enterprise, LLC Menotti Enterprise, LLC is a full-service construction safety and risk management consulting firm based in the New York City Metropolitan area. We are dedicated to providing cost-efficient solutions that help clients identify and prevent onsite hazards and mitigate construction delays. About the Job We are seeking a...

  • Clinical Education Specialist

    2 weeks ago

    Bronx, New York, United States Centers Plan for Healthy Living Full time

    Position Title: Clinical Education SpecialistLocation: Various LocationsOverview:The Clinical Education Specialist plays a pivotal role in partnering with management and administrative teams to design and implement educational initiatives for the organization.Key Responsibilities:Develop comprehensive educational programs tailored to meet the organization's...

  • Healthcare Security Specialist

    2 weeks ago

    Bronx, New York, United States MONTEFIORE MEDICAL CENTER Full time

    Healthcare Security Specialist Qualifications: High School diploma or equivalent required. Responsible for safeguarding designated access points to ensure that only authorized personnel, patients, and visitors enter the premises. Reacts promptly to emergency or unusual incidents within the facility. Key responsibilities include:Monitoring entrances and exits...

  • Medical Laboratory Specialist

    3 days ago

    Bronx, New York, United States AnyPlace MD Full time

    Job SummaryWe are seeking highly skilled Medical Laboratory Specialists to join our team at AnyPlace MD. As a Clinical Laboratory Technologist, you will play a critical role in ensuring the accuracy and reliability of laboratory test results.Key ResponsibilitiesPerform Complex Laboratory Tests: Conduct routine and emergency tests on blood and other body...

  • Meat Specialist

    2 weeks ago

    Bronx, New York, United States The Chefs Warehouse Full time

    Position Overview:As a Meat Specialist at The Chefs' Warehouse, you will play a crucial role in ensuring the highest quality of meat products for our customers. Your responsibilities will include:Expert Preparation: Skillfully prepare a variety of specialty meat cuts in an efficient manner to exceed customer expectations.Product Selection: Accurately select...

  • Healthcare Coordination Specialist

    2 weeks ago

    Bronx, New York, United States MONTEFIORE MEDICAL CENTER Full time

    Position Overview:The Montefiore Medical Center is seeking a dedicated Healthcare Coordination Specialist to uphold the standards of nursing practice as outlined by the American Nurses Association Code of Ethics and the Nursing Scope and Standards of Practice. Key Responsibilities:- Ensure compliance with the Nursing Social Policy Statement.- Collaborate...

  • Peer Navigator Specialist

    3 days ago

    Bronx, New York, United States Vocational Instruction Project Community Services Full time

    Job Summary:Vocational Instruction Project Community Services is seeking a highly motivated and compassionate Peer Navigator Specialist to join our team. As a Peer Navigator Specialist, you will play a critical role in providing support and guidance to individuals with histories of medical, behavioral, and mental health needs.Key Responsibilities:Conduct...

  • Peer Support Specialist

    6 days ago

    Bronx, New York, United States Vocational Instruction Project Community Services Full time

    Job Summary:Vocational Instruction Project Community Services is seeking a highly motivated and compassionate Peer Support Specialist to join our team. As a Peer Support Specialist, you will play a critical role in providing concrete services to individuals with histories of medical, behavioral, and mental health needs.Key Responsibilities:Conduct in-person...

  • Payroll Specialist

    1 month ago

    Bronx, New York, United States Michael Page Full time

    Hybrid Role - Based in New York Contracted role with potential to go permanent About Our Client A reputable School with multiple locations in the Upper east of Manhattan and the Bronx. Job DescriptionThe Payroll Specialist will be responsible for processing payroll, ensuring the accuracy of data and compliance with all state and federal laws and...

  • Anatomic Pathology Specialist

    2 weeks ago

    Bronx, New York, United States Montefiore Medical Center Full time

    Montefiore Medical Center is in search of an Anatomic Pathology Specialist to join our esteemed team.Position Overview:As a vital member of the Division of Clinical Pathology, you will be engaged in the laboratory analysis of blood, urine, and bodily fluids to aid in disease identification and health preservation.Key Responsibilities:1. Accurately manage the...

  • Social Work Specialist

    2 days ago

    Bronx, New York, United States Montefiore Medical Center Full time

    About the RoleWe are seeking a highly skilled and compassionate Social Work Specialist to join our interdisciplinary team at Montefiore Medical Center. As a key member of our Psychiatry and Behavioral Sciences department, you will play a vital role in providing individual, family, and group psychotherapy to adult patients with a wide range of mental...

  • Clinical Nurse Specialist

    2 weeks ago

    Bronx, New York, United States Vocational Instruction Project Community Services Inc. Full time

    *Sign-On Bonus $2,000- $3,000*Position Title: Registered Nurse Health ServiceReports To: Program Supervisor and Medical DirectorKey Responsibilities:Prepare patients for consultations by accurately measuring and documenting vital signs such as blood pressure, temperature, pulse, weight, and conducting additional procedures as necessary.Collect, record, and...

  • Clinical Nurse Specialist

    2 weeks ago

    Bronx, New York, United States Vocational Instruction Project Community Services Inc. Full time

    *Sign-On Bonus $2,000- $3,000*Position Title: Registered Nurse Health ServiceReports To: Program Supervisor and Medical DirectorKey Responsibilities:Prepare patients for consultations by accurately measuring and documenting vital signs such as blood pressure, temperature, pulse, and weight.Collect, record, and maintain comprehensive patient information,...

  • Radiology Multi-modality Specialist

    2 weeks ago

    Bronx, New York, United States Montefiore Medical Center Full time

    Montefiore Medical Center is in search of a Radiology Multi-modality Specialist to join our esteemed team.Position Overview & RequirementsSpecialty: Radiology Multi-modality SpecialistDiscipline: Allied Health ProfessionalDuration: OngoingShift: EveningsEmployment Type: StaffIn this role, under the supervision of a radiologist, you will conduct Cat Scan...