Maintaining service level agreements with downstream dependencies across the organization; enhancing and extending the risk computation analytics libraries and processes utilized in portfolio construction.
The design, and management of the deployment of new infrastructure components pertaining to a global cross asset legal and compliance platform which includes both end of day reporting and intra-day real time trading activities.
Preparation of SEC regulatory filings, such as initial filings and annual updates to the registration statement on Form N-1A, registration statement supplements, annual and semi-annual reports, Forms N-SAR, N-CSR, N-Q, N-MFP, 24f-2, N-PORT, N-CEN and N-PX.
The Analyst, Contract Compliance is responsible for reviewing and validatingcontractual pricing and compliance issues relating to medium-to-large customers and vertical markets using analytical tools, compliance databases, daily reports, and contract interpretation.
Coordinate reviews of SOD conflicts for the applications in scope, accordingly to the calendar defined by process & tools team;· participate on GA Compliance monthly communication board and also on SOX Steering Committee.
Develops, implements and maintains an appropriate level of operating procedures, policies and standards necessary to support the standardization of regulatory compliance among Zebras centers of excellence.
As a Technology Sales Consultant at Pitney Bowes, you thrive on hunting for new business opportunities within the Financial Services sector, helping institutions with their regulatory compliance issues, and you deliver with precision. You see opportunities where others see challenges.
In this role, the selected candidate will prepare clear, detailed and accurate compliance documentation, including narratives, control descriptions, risk control matrices, test programs, and performance metrics.
This team is tasked with building and maintaining tools to review trading activity and analyze data to identify patterns, trends, and anomalies. This individual will focus on setting up and managing compliance infrastructure, generating compliance and surveillance reports and responding to data requests.