In this role, you will assist in regulatory examinations, mock examinations and other legal and regulatory matters, as they arise; review daily trade compliance reports; maintain restricted and watch lists.
In this role, the selected candidate will help develop, draft and execute policies and procedures that are designed to detect and prevent violations of the federal securities laws and mitigate various types of risk, including compliance and operational risk.
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.
In this role, the selected candidate will perform AFRL/RIOS duties of defending the networks, understanding the threat environment, and supporting computer network operations programs and capabilities through analysis of threats to the cyber domains.
In this role, the selected candidate will identify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to current policy or practices.
In this role, the selected candidate will review marketing materials, offering documents, investor communications, and other materials across all of Real Estates investment strategies to ensure compliance with applicable law, regulations and company policies.
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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.
The successful candidate will need to be an effective communicator, possess strong influencing skills and be responsible for enhancing the compliance framework and program by introducing approaches to make the role as efficient and effective as possible.
In this role, you will monitor, review, evaluate, make recommendations to optimize the performance of the protection systems and test programs associated with the LIPA T&D system and the associated regulatory compliance requirements.
The Compliance Associate will be responsible for daily Compliance matters including surveillance, examinations, developing policies and procedures, interacting with regulators, interfacing with brokers, traders, bankers and corporate executives.
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 successful candidate will maximize sales and services revenue from each client engagement through a deep understanding of the broader needs our solutions address in the financial services sector.
The candidate will be responsible for identifying potential conflicts of interest or other franchise risks to Citi that might result from the outside business interests and brokerage accounts of Citi employees as it relates to firm policies and regulatory mandates. This includes reviewing requests from Citi employees to engage in business affiliations, private investments and to maintain brokerage accounts.