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.
Conduct screening and investigations to uncover adverse media, OFAC sanctions risk and/or politically exposed persons (PEP); assist in the tracking metrics for new investor, high-risk investors and foreign PEPs.
In this role, the selected candidate will focus on compliance related activities from a benefit, pension and absence management perspective, including but not limited to creating/updating Standard Operating Procedures (SOP) and Work Instructions, completing benefit, pension and absence management compliance/audit reviews and other projects as assigned by management.
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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.