The compliance analyst is responsible for supporting the banks adherence to privacy and data security rules and regulations by providing regulatory compliance support and expertise within established guidelines.
In this role, you will be providing support to the senior members of the team in the review, negotiation and implementation of investment management agreements governing separately managed accounts and side letter agreements.
In this role, you will monitor production processes to obtain necessary data in support of investigations and track effectiveness of changes. Gathers, trends, and analyzes process related data to drive consistency and timeliness.
In this role, the selected candidate will be responsible for generating new opportunities from existing customer referrals and through building partnerships as well as from your own targeted outbound activity into larger prospects.
In this role, you will provide guidance and consultation services to business partners and Information Technology regarding the implementation of electronic communication functions and associated controls within business solutions.
In this role, you will be responsible for maintaining compliance with various regulations including US BIS Export Administration Regulations, Hong Kong Strategic Goods Act, EU Regulations on Dual Use Goods and any other export control regulations that may be enacted by individual country authorities from time to time.
The Information Security Compliance Analyst collaborates with other highly skilled members of the Forensic Analysis Center (FAC) Compliance Team. The position works with both research and operations staff to provide timely and quality guidance and oversight to ensure that regulatory and compliance risks are adequately identified, communicated, and tracked for remediation.
In this role, the selected candidate will be responsible for controls and compliance analysis particularly focusing on regulatory and enforcement matters; will also be responsible for financial and economic analysis performed within the investigation and dispute litigation environment.
In this role, the selected candidate will monitor investment restrictions and guidelines through the Charles River post-trade surveillance system; identify, research and resolve exceptions with business partners and service providers.
The Trade Compliance Analyst provides guidance and support to internal resources to identify controlled data and hardware, licensable transactions, evaluate export license requests, gather necessary data, prepare documentation for license and other export applications for submission to the appropriate government agency via DTRADE and SNAP-R, support export related reporting, recordkeeping and maintenance of existing export licenses and TAAs.
This individual will also be able to develop and execute all aspects of an audit, including: planning, process flows, risk matrices, audit program, fieldwork, report writing and presentation to audit management and senior business management.
In this role, the selected candidate will foster and promote continuity of care and cooperative partnerships by liaising with health care providers, acute care hospitals, long term care facilities and other programs/organizations involved in the provision of services.
The Compliance Officer I will collaborate with the Sr Compliance Manager and other Compliance Managers, Compliance Officers, and Chief Compliance Officer to foster an open and honest risk management and compliance culture across the Business Division/Unit and ensure timely reporting and escalation of regulatory risk issues to management.
The Business Systems Analyst III Compliance/Audit has a strong emphasis on data analysis, and the ability to traverse complex data models to extract and assemble data that meets regulatory requirements. Strong SQL and data analysis skills are required along with the ability to perform process analysis and re-engineering.