Compliance Associate

1 month ago

Chicago, United States SNI Financial Full time


Job Summary:
The Compliance Associate is responsible for ensuring the Bank complies with regulatory requirements and applicable policies, procedures, and practices, and collaborating in the identification, measurement, and monitoring of compliance risks within the Bank. The position may also assist with developing, implementing, and administering aspects of the Bank Secrecy, Anti-Money Laundering and Customer Identification Program, as needed.
Duties/Responsibilities:

  • Assist with research federal and state banking laws and regulations, to stay updated with changes and to assist with answering questions that arise.
  • Review the bank's policies and procedures to ensure overall compliance.
  • Advise management and employees of emerging compliance issues and risks.
  • Assist with updating or creating various Programs, Policies, Procedures and Risk Assessments to develop controls to mitigate those risks for the various banking areas.
  • Create and help maintain Internal Compliance Reviews for significant processes, procedures, and applications within the operating areas of the bank.
  • Assist with conducting Internal Monitoring Reviews on a scheduled basis and report the results to the responsible department head and Executive Management.
  • Assist with creating and facilitating various Trainings for bank staff on various banking regulations, including Retail, Lending, BSA, and CRA & Fair Lending topics.
  • Assist with maintaining a Bank Secrecy, Anti-Money Laundering and Customer Identification Program, policies, and risk assessment as needed.
  • Assist when needed with the BSA-AML activities including reviewing and completing of CTRs, Alerts, Cases, and SARs, and review and testing of customer data and documentation.
  • Help test and analyze data and processes to ensure overall compliance and accuracy.
  • Serve as a Member on the Compliance Committee, and Suspicious Activity Evaluation Committee.
  • Assist with scheduling compliance audits of the Bank and providing results to Executive Management and the Board of Directors.
  • Review advertising copy for accuracy and adherence to regulatory requirements.
  • Coordinate or assist with the preparation for appropriate examinations by the regulatory agencies.
  • Review documents related customer complaints and inquiries.


Basic Qualifications:
Education and Experience

  • Associate's degree preferably in business, finance, or other related area.
  • Basic knowledge of regulatory requirements within the banking industry.


Skills and Abilities:

  • Ability to comprehend and respond appropriately to both oral and written communications and/or directions.
  • Strong reasoning and critical thinking skills.
  • Strong verbal, written and interpersonal relationship skills.
  • Ability to organize/prioritize work, handle workload independently and meet critical deadlines.
  • Strong aptitude in decision-making.
  • Proficient in Microsoft Office suite.

  • Senior Compliance Associate

    4 days ago

    Chicago, United States Larson Maddox Full time

    A leading compliance consulting firm is looking to grow it's compliance team and is looking for you to join the firm as it's next Senior Compliance Associate! This is an exciting opportunity to work with major players in the private equity, RIA, and venture capital space to enhance and mature their compliance framework. This opporutnity is operating on a...

  • Senior Compliance Associate

    4 days ago

    Chicago, United States Larson Maddox Full time

    A leading compliance consulting firm is looking to grow it's compliance team and is looking for you to join the firm as it's next Senior Compliance Associate! This is an exciting opportunity to work with major players in the private equity, RIA, and venture capital space to enhance and mature their compliance framework. This opporutnity is operating on a...

  • Senior Compliance Associate

    2 days ago

    Chicago, United States Larson Maddox Full time

    Job DescriptionJob DescriptionA leading compliance consulting firm is looking to grow it's compliance team and is looking for you to join the firm as it's next Senior Compliance Associate! This is an exciting opportunity to work with major players in the private equity, RIA, and venture capital space to enhance and mature their compliance framework....

  • Compliance Associate

    2 months ago

    Chicago, United States Kovitz Full time

    POSITION OVERVIEW Based in our Chicago headquarters or one of our branch locations (Southfield, MI; Northbrook, IL; Greenwich, CT; Scottsdale, AZ; Denver, CO; Orange County, CA), the Compliance Associate will partner with the Chief Compliance Officer in meeting the regulatory requirements required by the Firm. This will include working on projects and tasks...

  • Compliance Testing Associate

    4 weeks ago

    Chicago, Illinois, United States Avant Full time

    We are seeking a highly motivated and detail-oriented Compliance Testing Associate to join our team in Chicago. As a key member of our compliance team, you will be responsible for conducting second-line regulatory compliance monitoring and testing, supporting regulatory risk assessments, and supporting regulatory compliance training.This role may also entail...

  • Compliance Associate, Marketing Review

    4 weeks ago

    Chicago, Illinois, United States Corient Private Wealth LLC Full time

    Compliance Associate, Marketing Review Job DescriptionAt Corient Private Wealth LLC, we are seeking a highly skilled Compliance Associate to join our Marketing Review team. As a key member of our team, you will play a crucial role in maintaining our organization's compliance with laws, regulations, and internal policies while optimizing our operational...

  • Compliance Associate

    4 weeks ago

    Chicago, IL, United States SNI Financial Full time

    Job Summary:The Compliance Associate is responsible for ensuring the Bank complies with regulatory requirements and applicable policies, procedures, and practices, and collaborating in the identification, measurement, and monitoring of compliance risks within the Bank. The position may also assist with developing, implementing, and administering aspects of...

  • Associate General Counsel and Compliance Officer

    1 month ago

    Chicago, Illinois, United States Medexus Pharma, Inc Full time

    Job DescriptionMedexus Pharma, Inc. is seeking a highly skilled Associate General Counsel and Compliance Officer to join our team. This role will be responsible for overseeing and managing our legal and regulatory compliance program, ensuring that our company adheres to all relevant laws and regulations.The ideal candidate will have a strong background in...

  • Compliance Associate Marketing Review

    7 days ago

    Chicago, United States Corient Full time

    Join a team that values your ambition and empowers your growthAt Corient, we help high- and ultra-high-net-worth individuals, families and high achievers of all types enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communities they care about. We focus on exceeding expectations,...

  • Compliance Specialist

    1 month ago

    Chicago, Illinois, United States SNI Financial Full time

    Job Summary:The Compliance Associate is a critical role within SNI Financial, responsible for ensuring the Bank's compliance with regulatory requirements and applicable policies, procedures, and practices. This position collaborates in the identification, measurement, and monitoring of compliance risks within the Bank, while also assisting with developing,...

  • Grant Compliance Specialist

    4 weeks ago

    Chicago, Illinois, United States Alzheimer's Association Full time

    Job SummaryThe Alzheimer's Association is seeking a highly skilled Grant Administrator - Compliance to join our team. This role is responsible for ensuring adherence to federal, state, and organizational regulations throughout the grant management process.Key ResponsibilitiesCompliance Monitoring: Work closely with the Director, Grants Compliance and...

  • Grant Compliance Specialist

    4 weeks ago

    Chicago, Illinois, United States Alzheimer's Association Full time

    The Alzheimer's Association is seeking a highly skilled Grant Administrator - Compliance to join our team. As a key member of our grants compliance team, you will be responsible for ensuring adherence to federal, state, and organizational regulations throughout the grant management process.Key Responsibilities:Monitor grant activities and provide guidance to...

  • Compliance Manager

    4 weeks ago

    Chicago, Illinois, United States Buckingham Search Full time

    Job SummaryThis role will oversee the execution and management of programs that ensure compliance with the company's regulatory and internal control environment. The ideal candidate will have a strong background in process management, including familiarity with issue management or audit best practices.Key ResponsibilitiesFacilitate and oversee the management...

  • Compliance Manager

    4 weeks ago

    Chicago, United States Buckingham Search Full time

    This role will provide execution and oversight for the programs that oversee compliance with the company’s regulatory and internal control environment. This includes, but is not limited to, facilitating and overseeing the management self-testing program, management self-testing quality assurance, annual attestations, and compliance automated testing...

  • Grant Administrator

    4 weeks ago

    Chicago, Illinois, United States Alzheimer's Association Full time

    Job SummaryThe Alzheimer's Association is seeking a highly skilled Grant Administrator - Compliance to join our team. As a key member of our grants compliance team, you will be responsible for ensuring adherence to federal, state, and organizational regulations throughout the grant management process. This role involves monitoring grant activities, providing...

  • Manager, Compliance Monitoring

    3 weeks ago

    Chicago, United States Request Technology, LLC Full time

    ***Hybrid, 3 days onsite, 2 days remote******We are unable to sponsor as this is a permanent full-time role***A prestigious company is looking for a Manager, Compliance Monitoring. This person will manage over 4 people and will focus on regulatory and internal control self-testing programs. Responsibilities:Oversee the facilitation of the management...

  • Manager, Compliance Monitoring

    3 weeks ago

    chicago, United States Request Technology, LLC Full time

    ***Hybrid, 3 days onsite, 2 days remote******We are unable to sponsor as this is a permanent full-time role***A prestigious company is looking for a Manager, Compliance Monitoring. This person will manage over 4 people and will focus on regulatory and internal control self-testing programs. Responsibilities:Oversee the facilitation of the management...

  • Manager, Compliance Monitoring

    3 weeks ago

    chicago, United States Request Technology, LLC Full time

    ***Hybrid, 3 days onsite, 2 days remote******We are unable to sponsor as this is a permanent full-time role***A prestigious company is looking for a Manager, Compliance Monitoring. This person will manage over 4 people and will focus on regulatory and internal control self-testing programs. Responsibilities:Oversee the facilitation of the management...

  • Clinical Compliance Specialist

    4 weeks ago

    Chicago, Illinois, United States AbbVie Full time

    Job SummaryWe are seeking a highly skilled Clinical Compliance Specialist to join our team at AbbVie. The successful candidate will be responsible for ensuring compliance with applicable Corporate and Divisional policies and procedures.Key ResponsibilitiesPerform Quality Control review of regulatory, scientific, and clinical documents for Clinical...

  • Compliance Portfolio Director

    2 weeks ago

    Chicago, Illinois, United States Barings Full time

    At Barings, we value the dedication and expertise of our associates, recognizing their hard work and rewarding them for their personal and professional integrity, effective communication, and strategic competencies. This is reflected in our comprehensive benefits package, designed to support our employees' well-being and career growth.We are committed to...