The HR Compliance Analyst is responsible for a range of activities which ensure the operational effectiveness of the Global HR Compliance program. The analyst contributes to the development, revision, and implementation of HR Compliance processes and procedures across ADP worldwide.
The AML Investigations team will execute investigations based on Client On-boarding; Maintenance; Transaction Monitoring referrals; Government sources and Referrals from business partners and other control areas.
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 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 develop, manage, update and streamline Safety SOPs in order to better support R Efficiency in the stores and to ensure alignment with Asset Protection and Company strategies.
The Compliance Analyst will report to the Compliance Director responsible for overseeing the Advisers compliance program and will also provide support to the Chief Compliance Officer in connection with the Funds compliance program. The candidate will work closely with other members of the Compliance Department and with individuals in the line of business.
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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.