Compliance Analyst Jobs

Job Title: Finance and Compliance Officer Company: Location: York, pa Description: FINANCE AND COMPLIANCE OFFICER: We are seeking candidates for a new position created for a strong individual with a unique ability to find and follow regulations and create procedures to help maximize business growth. We are looking for a person who wants to grow with our company as we rapidly expand. Legal, real estate, accounting, and securities backgrounds will be extremely helpful for the duties of this position. This position will work closely with our executive staff. Salary plus profit sharing bonuses will be commensurate with experience. To be considered, please submit salary requirements and resume. References will also be required at the time of interview. Please visit our websites for a brief description of our companies. www.PillarAdvantage.com, www.PillarProDeals.com, www.PillarPropertyForSale.com, www.PillarBuysProperty.com, www.PrecisionFundingAmerica.com Position Duties: ? Oversee and review employee commissions, bonuses, and professional licenses ? Oversee company insurance coverage (vehicles, liability, properties, etc) ? Oversee employee and contractor contracts, non-competes, non-circumvent, etc. ? Oversee securities compliance (state and federal, debt and equity filings and registrations). Review monthly investor statements and new investment issuance. Provide correspondence and follow procedures with our third party administrator for tax-qualified investments. ? Oversee real estate compliance ? must be able to quickly learn and apply state regulations, loss mitigation, loan modifications, short sales, foreclosure, and bankruptcy processes. ? Oversee real estate and investment closings ? Develop compliance training materials and conduct compliance training for internal and external workforce, including sales force. ? Develop and oversee company?s electronic compliance training program and establish processes for tracking, reporting and follow-up. ? Develop and ensure appropriate systems in place to track and monitor compliance issues; monitor reports and information and take action, as appropriate. ? Make recommendations on, and assist with, marketing compliance of company products. ? Assist Executive Staff with projects as requested. ? Act independently to devise work plans to accomplish assigned tasks and contribute to goals. ? Participate in recruiting and hiring as needed. ? Participate in weekly finance meetings with CFO and Payroll Administrator. ? Manage financial info and practices. ? Interface with our outside CPA. ? Oversee our private investor statements and records. Requirements: ? BS or BA degree, MBA preferred. ? Ability to travel on occasion as needed. ? Demonstrate high integrity and excellent judgment. ? Excellent written and verbal communication skills. ? Ability to protect confidentiality of information. ? Ability to work with all levels of management & front line staff. ? Ability to manage a diverse and demanding workload. ? Ability to analyze and interpret complex regulations and apply to company business and operations. ? Proficient in Word, Excel, Outlook, and Quickbooks. ? 8+ years of progressive experience, including management experience, in a compliance related role with finance, real estate and/or securities, preferably. ? Experience with business process improvement activities including improvements to compliance deficiencies. ? Either have or obtain in the near future: Series 7 and Series 24 Securities Licenses ? Demonstrate unwavering personal and organizational ethical standards. Location: York, PA Compensation: Salary Principals only. Recruiters, please don't contact this job poster. Please, no phone calls about this job! Please do not contact job poster about other services, products or commercial interests. Salary/Wage: Salary Status: Full-time Shift: Days • Location: York, PA • Post ID: 3136549

Job Title: Senior Bank Compliance Officer Company: Location: Seattle, WA Description: Role Summary/Purpose Under the direction of the Chief Compliance Officer the Senior Bank Compliance Officer will ensure bank operations, programs, and processes are compliant with applicable banking rules, regulations, and statutory requirements. May serve as BSA Officer and/or Bank Security Officer. Essential Responsibilities ? Maintaining policies, procedures, & practices to ensure compliance with laws and regulations ? Ensuring state & federal laws are applied appropriately in retail banking sales and operations. ? Effectively monitoring and managing operations compliance, Fair Lending, SOX 404, Advertising, Compliance Training, formal customer complaints. ? Monitoring bank account disclosures (loan and deposit); ? Active member of Bank Compliance, Audit, Risk Management, and Volunteerism Committees ? Manage & monitor regulatory compliance audits ? Ensure bank practices are not subject to undue regulatory risk through effective compliance program management ? Oversee and implement processes and controls to maintaining compliance ? recommend, develop, & implement changes to existing & proposed procedures, policies & programs ? Oversee & manage scope & contract management for external compliance, credit & operation audits ? Oversee revision, preparation & dissemination of new & updated compliance standards & procedures ? Coordinate, supervise, and support bank's compliance-related programs ? special financial statement requirement work ? May be required to directly supervise compliance and quality assurance support personnel. Qualifications/Requirements Bachelors Degree with 5+ years experience, including Compliance/Corporate Governance at an FDIC regulated financial institution Experience with and working knowledge in the following areas: bank regulatory compliance, Fair Lending, AML/BSA, privacy, consumer financial services regulation. Experience developing a compliance program of direct and brokered mortgage origination activities. Experience managing and implementing a regulatory compliance program. Experience scoping, conducting investigations and audits. Experience in successfully working in functional work teams and complex projects and work assignments. Experience developing creative solutions which achieve multiple business objectives. Working knowledge of MS Office applications and compliance analysis theory and practice. CREDIT AND CRIMINAL BACKGROUND CHECK REQUIRED. SEATTLE BANK IS AN EQUAL OPPORTUNITY EMPLOYER.

Job Title: Compliance Officer Company: Toyota Financial Services Location: Las Vegas, NV Description: Toyota Financial Savings Bank Our people are the driving force behind our success and we're moving forward! Join a dynamic company known for rapid growth and solid success. As Compliance Officer, you will make your mark by: Developing and monitoring compliance for all bank policies and review procedures. Developing CRA plan and cultivating relationships within the designated community as a Community Reinvestment Act Officer. Teaching compliance training to TFS & TFSB associates. Researching compliance issues for products in development, and monitoring legal/regulatory changes impacting existing products. Acting as the liaison with FDIC/State regulators and managing onsite FDIC/State exams. Maintaining minutes and all permanent records for the bank as the Secretary for Board of Directors. Handling periodic audits for policy compliance. Serving as the Privacy Officer, Bank Secrecy Act Officer & Security Officer. Must learn the business functions, issues, and strategic vision for the bank and identify solutions to offer products that are compliant. Frequent interactions with TFS Legal, external counsel, regulators, and bank partners (vendors) to make sure that the bank is in strict compliance with bank laws and regulations. Will also have significant impact on regulatory exams such as: Safety & Soundness, Compliance, IT, and CRA. TFS is looking for individuals with strong business sense and practical expertise. Successful candidates must have: Exceptional service in assisting in the development of financial products and service that are compliant and appealing to customers Able to communicate clearly, concisely, and explain legal/regulatory issues in layman's terms 10+ Years of Banking Experience 7+ Years of Compliance Experience 5+ Years Interacting with FDIC/State regulators 5+ Years CRA Bachelor of Science and Masters of Business Administration preferred. Turn toward great benefits: * Work/Life benefits (flextime, 9/80 work schedules offered where applicable, tuition reimbursement) * Vehicle lease and purchase (Associates are eligible date of hire, access to favorable rates and more incentives!) * Medical, dental and vision insurance (Associates are eligible date of hire & premiums are paid by Toyota) * Matching 401(k) and fully funded Pension Plan * Paid time off (vacation, sick, personal, holidays) About Toyota Financial Services Headquartered in Torrance, Calif., Toyota Financial Services (TFS) is the finance and insurance brand for Toyota in the United States, offering retail auto financing and leasing through Toyota Motor Credit Corporation (TMCC) and extended service contracts through Toyota Motor Insurance Services (TMIS). Lexus Financial Services is the brand for financial products for Lexus dealers and customers. TFS currently employs over 3,000 associates nationwide, and has managed assets totaling more than $79 billion. It is part of a worldwide network of comprehensive financial services offered by Toyota Financial Services Corporation, a wholly-owned subsidiary of Toyota Motor Corporation. EOE. M/F/D/V. To Apply for this position, please CLICK HERE

Job Title: Analyst, Compliance Company: Lpl Financial Services  see all jobs Location: Charlotte, NC Description: Apply LPL Financial is looking for a full time Home Office Supervision Analyst within our Compliance Department. Position is responsible for serving as acting Branch Office Manager for LPL Financial Advisors across the country. This will entail signing off on new account applications, reviewing transactions on a trade blotter, review and approval of variable annuity, mutual fund, alternative investment, and securities transactions for suitability and documentation, outside ...

Job Title: Director, Fixed Income Compliance Officer Company: BNP PARIBAS Location: New York, NY Description: BNP Paribas is a European leader in global banking and financial services and one of the six strongest banks in the world according to Standard & Poor's. Present across Europe through all its business lines, the Group has four domestic retail banking markets in France, Italy, Belgium and Luxembourg. It has one of the largest international networks with operations in 84 countries and 205,000 employees, including 162,500 in Europe, 15,600 in North America and 10,300 in Asia. The group holds key positions in three major segments: Corporate and Investment Banking, Asset Management & Services and Retail Banking. Present throughout Europe in all of its business lines, the bank's two domestic markets in retail banking are France and Italy. BNP Paribas also has a significant presence in the United States and strong positions in Asia and the emerging markets. Responsibilities Primary responsibilities are: working on special initiatives of the bank (e.g., OTC derivatives regulation, bank's integration efforts as part of an acquisition of a new business/entity, etc.), providing Compliance/regulatory advice to front office and middle office relating to the bank's fixed income business lines, liaising with regulatory agencies , implementing new rules and regulations, drafting effective policies and procedures, reviewing new business proposals, and training. A. Working on Special Initiatives Heading up steering committees composed of development to update senior management on special initiatives which may include regulatory developments (e.g., OTC derivatives regulations, Obama's Financial Responsibility Fee, etc.).Working on special projects which may be specific to: Fixed Income as a result of a roll-out of a new business/activity (e.g., creating policies/procedures for new business line, creating a surveillance program, etc.);Bank-wide initiatives (e.g., reviewing corporate governance structure for broker-dealer activities booked overseas, but conducted in the U.S., integration committee as a result of BNP Paribas' acquisition of a new business/entity, etc.);Global initiatives which would involve working with Compliance in Paris, London, Hong Kong, etc.; andSpecial investigations as a result of a hotline call, regulatory sweep, etc. Working on special initiatives is a key responsibility for this position and allows the individual to access senior management, work on a wide variety of topics/issues beyond fixed income, and work with colleagues overseas. B. Fixed Income Advisory Advising trading and sales of regulatory requirements on a transaction-specific basis.Tracking new industry initiatives and participate in meetings concerning implementation of these new requirements.Research and respond to inquires from trading, sales and structuring groups as well as middle and back office personnel.Responsible for reviewing new business proposals and identifying all compliance/regulatory issues associated with the new business/product. Working with front office, middle office and back office to insure proper controls (e.g., compliance manuals, registrations, regulatory approvals, surveillance reports, written supervisory procedures, etc.) are in place to support the new business/product.Coordinating with overseas Compliance officers on issues related to cross-border transactions and/or booking C. Regulatory Liaison Responding to regulatory inquiries and assist with various regulatory examinationsWorking on regulatory investigations D. Drafting of Policies & Procedures Establishing written guidance on the appropriate implementation of Compliance laws, rules and standards through policies and procedures and other documents such as Compliance Manuals, Written Supervisory Procedures Manuals, etc.Periodically drafting Compliance Bulletins and Compliance e-Flashes when necessary to update the front office of regulatory developments. E. Training Conducting training on various compliance/regulatory topics and adopts various methods (e.g. team meetings, one-on-one, Compliance Bulletins, e-Flashes, annual compliance meetings) to educate the marketers and traders. Skills BA or BS a must with preference to business or finance majors. JD or MBA preferred.10 to 15 years fixed income compliance/regulatory experience with a broker-dealer and/or related legal or regulatory experience. Strong product knowledge in fixed income derivatives and structured products is a must. An ability to understand the transaction/product proposed and apply applicable rules and regulations to varying "real world" situations. The candidate must also possess the ability to write and speak articulately and concisely. Strong client management skills also are essential.

Job Title: Anti-Money Laundering Compliance Officer Company: HSBC Bank USA Location: Washington, DC Description: Make the Right Move and join a winning team! HSBC North America is part of HSBC Group, one of the largest banking and financial services organizations in the world. Our domestic strength and extensive global network provides our employees with the best of both worlds - the friendliness of a local organization and the resources of a worldwide network - for diverse experiences and challenging career opportunities.   Monitor accounts held by diplomats and government agencies, including embassies, consulates and missions, in order to ensure that the Company is meeting its regulatory obligations specifically related to USA Patriot Act, Bank Secrecy Act (BSA) and internal Anti-Money Laundering (AML) program. Key responsibilities include transaction monitoring, suspicious activity reporting and participating in special compliance reviews and projects. Maintains constant awareness of new and amended regulations and assesses their impact on assigned areas. Assists compliance and/or line management, including business, operations and product managers, in implementing changes to products, services, systems and operations to ensure and maintain compliance. Monitor activities of assigned area(s) to ensure compliance with applicable internal policies and procedures and external regulations. Review and analyze transaction data and related source documents for suspicious/unusual patterns of activity within high risk accounts. Follow-up with responsible area for explanations and discussions for appropriate action. Perform analysis on account activity for customers identified through automated monitoring systems. Provide support to assigned areas on BSA/AML related issues.   Participate in special compliance reviews, projects and training efforts, as required. Adhere strictly to compliance and operational risk controls in accordance with Company and regulatory standards, policies and practices; report control weaknesses, compliance breaches and operational loss events. Complete other related duties as assigned and support the Company’s Diversity programs. Addresses legal compliance matters in daily activities to ensure regulatory requirements and operating practices are followed in assigned areas. Ultimate authority for compliance risk management and policy decisions rest with higher management. Many of the businesses supported entail a high degree of regulatory compliance and reputation risk, particularly with respect to risks arising out of non-compliance with extensive and complex regulations. Failure to comply with these regulations would have significant negative effects on relations with regulators, the reputation of the Company with the public and result in regulatory impediments to mergers and acquisitions and significant regulatory sanctions, including regulatory fines of material amounts. Routinely interacts with management for assigned businesses, regional and local compliance functions, peers throughout the organization and examination officials conducting regulatory examinations.   Basic Qualifications:   Bachelor’s degree in business, finance, accounting, related field or equivalent experience Minimum of three years proven audit, compliance, financial services operations and/or regulatory experience, or equivalent Good interpersonal, organizational, communications, analytical and project management skills Knowledge of products, services, operations and systems and extensive dealing with laws, regulations and regulatory agencies related to assigned areas Proficiency with personal computers and pertinent mainframe systems and software packages

Job Title: Regional Compliance Officer Company: Raymond James Financial  see all jobs Location: Saint Petersburg, FL Description: Job Summary Under general direction, with a high level of autonomy, uses extensive knowledge and skills in securities or banking industry compliance obtained through education, experience, specialized training and/or certification, to provide administration and management of an assigned regional compliance function. Leads major projects, programs or processes with significant business impact that may involve cross-functional teams. Influences strategic direction and develops tactical plans and ...

Job Title: Compliance Officer Surveillance- VP Company: Deutsche Bank Location: New York, NY Description: This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landscape.   As you’ll discover, our culture supports this. Diverse, international and shaped by a variety of different perspectives, we’re driven by a shared sense of purpose. At every level agile thinking is nurtured. And at every level agile minds are rewarded with competitive pay, support and opportunities to excel.About Legal, Risk and CapitalDeutsche Bank is exposed to a wide range of risks every day which can impact its reputation and capital.  Legal Risk & Capital (LRC) is recognized as a market leader in the risk management industry to guard against such exposures.  LRC manages all aspects of risks, such as credit loss, volatility of market prices, operational failures, liquidity shortages, regulatory and legal matters.  All risks are managed from the analysis of counterparty credit risk and the stress-testing of market movements, to the protection of the Bank’s infrastructure and information.  The major risks that Deutsche Bank faces are managed by different areas within LRC.  These include the Chief Operating Office, Compliance, Corporate Security & Business Continuity, Credit Risk Management, Investment Risk Management, Legal, Operational Risk Management, Market Risk Management, and Treasury & Capital Management. Failure to comply with regulations can cost a bank its business.  Compliance’s work of identifying and managing regulatory risks, therefore is critical.  Compliance advances lawful and ethical business conduct and prevents and detects violations of law, helping to protect and maintain Deutsche Bank’s integrity and reputation.Compliance Officer – Surveillance- Vice PresidentResponsibilities Include:•       Account surveillance in Private Client trading•       E-mail surveillance, including developing and creating structure around a global effort.•       Assist in developing and implementing a Futures surveillance system as part of a global project and then covering the day to day surveillance once implemented.  •       The position will also cover transactional banking, private bank and local futures surveillance.•       Interfacing with the Compliance Technology team to assist with system enhancements and implementation.Skills Required:•       Bachelor’s Degree (Finance or Economics preferred), along with Series 7 license.•       Minimum of five years of compliance and/or regulatory experience, with knowledge of the financial services industry and regulatory requirements.•       Previous experience in general compliance surveillance with a broker dealer, along with transactional experience in equity, fixed income and futures products. In addition, candidate should have experience dealing with the various regulatory agencies.    • Excellent communication, interpersonal and PC skills• Knowledge of Actimize, Sungard and/or Zantaz is a plus*Deutsche Bank is an Equal Opportunity/Affirmative Action (M/F/D/V) employer.*

Job Title: Compliance Officer Surveillance Company: Company Confidential Location: New York City, NY Description: Please only respond if you have the qualificationsLooking for a Compliance Officer surveillance  AVP/VPMUST have Equity, Fixed Income & Futures (is a must) Must have the Series 7 Lic.This is in their Private Wealth Mgt. area Bachelor’s Degree (Finance or Economics preferred) along with Series 7 license8-10 years experience of compliance and/or regulatory exp., with knowledge of the financial services industry and regulatory requirementsPrevious experience in general compliance surveillance with a broker dealer, along with transactional experience in equity, fixed income and futures products. In addition candidate should have experience dealing with the various regulatory agenciesExcellent communications, interpersonal and PC skills Knowledge of Actimize (which is a surveillance system that has equity & fixed income rules and regulations running through it)  SunGard is the sameExample of Zantaz (which is an e-mail capture system identifies e-mails that have word and or phrases that require an investigation) Responsibilities Account Surveillance in Private Client tradingE-mail surveillance, including developing and creating structure around a global effortAssist in developing and implementing a Futures surveillance system as part of a global project and then covering the day to day surveillance once implemented This position will also cover transactional banking, private bank and local futures surveillanceInterfacing with the Compliance Technology team to assist with system enhancements and implementationplease respond to  Register to View

Job Title: Analyst, Compliance Company: Northern Trust Corp Location: Chicago, IL Description: The Compliance Analyst will be responsible for obtaining relevant financial information pertaining to privately held business entities from both internal and external sources; reviewing that information and preparing Reg. 9 investment reviews; preparing compliance checklist for assets in which Northern as fiduciary holds a controlling position; obtaining information for and preparing periodic written policies or written minutes of meetings for business interests for which the Family Business Division is responsible; coordinating review of trust owned life insurance contracts by an outside vendor.Knowledge/Skills• Basic knowledge of common types of business entities (e.g. partnerships, corporations and limited liability companies)• Knowledge of basic investment concepts• Ability to read and understand income statements, balance sheets and statements of cash flows • Ability to perform comparative analysis of current and prior year financial results, identify material differences, and obtain satisfactory explanations for those differences • Ability to work as a team player and communicate in a clear personable manner with business management, company and beneficiary advisors, and internal partners • Ability to write in a concise, logical, and grammatically correct fashion • Ability to work independently and meet time deadlines • Practical business knowledge of accounting, finance, general business administration, and/or investment management usually gained through prior work experience or through a four year degree program in accounting, finance, business administration, or related subjectMajor Duties• Work directly and with other areas of the Bank to obtain financial, performance, and market information from the management of the corporation, partnership, limited liability company or other business entity necessary for completion of the annual Reg. 9 review for assigned interests • Prepare annual written Reg. 9 investment reviews for assigned interests, analyzing the financial performance of the company and its impact on the interest(s) held and including for such purposes an investment recommendation, a valuation for fee purposes, and anidentification of any market for such interest • Prepare and see to the execution and filing of any reports by the assigned company required by any state and/or federal department or agency for which the Bank is responsible• Work with Analysts and Asset Managers, to obtain information for and prepare written statements of company policy or minutes ofcompany meetings for which the Bank is responsible, filing such policies and minutes in appropriate central and individual asset files • Perform any other compliance functions required by the Division, the Department, Auditors, or governmental departments or agencies • Perform administrative functions necessary for the accurate internal and external reporting of business interests for which the Family Business Division is responsible and the monitoring of the sameExperienceExperience: 3 years of related experience. Education: College degree preferred.