The Enterprise Area of Coverage (EAC) Compliance Analyst, under close supervision, assists a team responsible for providing enterprise wide coverage of specific laws, rules, regulations, and regulatory guidance, such as those related to SCRA (Service Member Civil Relief Act), Privacy and Registration and Licensing.
In this role, you will be responsible for reviewing transactions on a monthly basis involving electronic wires and check activity. Reviewing to see if negative news or other potential AML concerns with transactions activities exist.
In this role, the Compliance Analyst will work closely with a team of attorneys and compliance professionals to help ensure that the firms business activities are conducted in strict accordance with regulatory requirements.
In this role, the selected candidate will provide day-to-day support in the maintenance of the Firms compliance program, including but not limited to: monitoring of employee personal trading and electronic communications; preparation, distribution, collection and analysis of employee disclosure forms.
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$50K to $83K -New York, NY
In this role, the selected candidate will work closely with the CNR Chief Compliance Officer to oversee the CNR Rule 206(4)-7 investment adviser compliance program and to assist with overseeing the City National Rochdale Funds' Rule 38a-1 compliance program.
In this role, the selected candidate will be reviewing fund documents (indenture/IMAs), model and maintaining fund specific portfolio compliance tests within SS&C proprietary compliance analytics model.
In this role, the successful candidate will be reviewing fund documents (indenture/IMAs), model and maintaining fund specific portfolio compliance tests within SS&C proprietary compliance analytics model.