The Corporate Compliance/Licensure Coordinator performs a variety of functions related to record-keeping compliance. The Corporate Compliance Coordinator ensures compliance with contractual requirements and federal, state, and local government regulations.
In this role, you will analyze, design, develop, maintain products and assist in their commercialization - in agreement with the project technical and timing objectives. The selected candidate will also design, produce analyses, mathematical models and draw design conclusions based on those.
In this role, you will be responsible for
identifies opportunities for improvement and makes recommendations for improved methods. Assists personnel in resolving inter and intra department related IT issues and in developing compliance solutions utilizing gained expertise.
In this position, you will be responsible for reviewing AML procedures, including, EDD, Periodic Reviews, management of high risk customers, CIP and CDD functions and the management of alerts related to fraud, OFAC, KYC and high risk.
In this role, the selected candidate will develop audit programs based on type, complexity, age and criticality of systems being evaluated; evaluate security and controls of various platforms and technologies.
The security compliance analyst has a basic understanding of financial industry laws, regulations, policies, risks, security standards, industry-best-practices, and threats related to physical and logical security; resolves a wide range of issues in creative ways.
The selected candidate will analyze data by numerous delivery channels, geographic area, product types, facility, and even employee or officer to identify risks and develop and recommend scope or target for the review, corrective action/or performance gap closure.
In this role you will work closely with the vp of investor compliance to tie out uccs between mccracken and ilien. Follow up with closing, asset managers, and imaging to ensure all uccs are current and compliant.