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.
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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.
Act as primary contact for all Supplier Compliance Program Vendor Management inquires related to specific infractions that have occurred or are currently occurring and provide recommendations to the supplier on what they can change to become compliant or escalate a request for an exemption for the specific metric that may be affected
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.
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, 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.
In this role, you will be responsible for developing, implementing, validating, maintaining, supporting computerized systems in order to ensure that operations are implemented and maintained in a compliant state.
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.
The Compliance Testing Analyst II performs a key second line of defense role, to help ensure corporate initiatives and departmental processes comply with applicable laws and regulations. The individual will provide support to the Compliance Testing Lead in his/her oversight of the Bank's regulatory compliance testing program. The Testing Analyst is responsible for playing a critical role in the execution of the Bank's compliance testing program, reporting on testing results, and performing validation.