Compliance Analyst Jobs

Job Title: Chief Compliance Officer - Capital Retail Finance & Rest.Ops Company: GE Capital Location: Norwalk, CT Description: Business GE Capital Business Segment Capital - Retail Finance About Us The United States has regulations that govern the hiring of current or former U.S. Government employees. If you currently work for (or have in the past) the U.S. Government (in any capacity), you may have certain responsibilities under these regulations and certain restrictions may apply to your potential employment with GE. Therefore, if GE regarding a position of employment contacts you, and you have worked for the U.S. Government at any time, please immediately inform the GE representative of this fact. For U.S. employment opportunities, GE hires U.S. citizens, permanent residents, asylees, refugees, and temporary residents. Temporary residence does not include those with non-immigrant work authorization (F, J, H or L visas), such as students in practical training status. Exceptions to these requirements will be determined based on shortage of qualified candidates with a particular skill. GE will require proof of work authorization. Any offer of employment is conditioned upon the successful completion of a background investigation and drug screen. Role Summary/Purpose Provide senior-level leadership on compliance strategy, day-to-day compliance and regulatory matters, and compliance program maintenance and development at the HQ and business levels, based upon informed risk assessment. Lead team of compliance professionals in the creation, development and maintenance of mature compliance programs throughout the business platform. Lead and implement GE Capital regulatory readiness program. Essential Responsibilities Assist in the creation of a compliance culture through leadership engagement. Develop and implement compliance strategy and framework in consultation with SMT, GE Capital CCO, business SMTs and compliance teams. Develop and implement GE Capital Regulatory Readiness program. Develop and lead best in class compliance team. Develop, maintain and monitor at HQ and business levels, processes for:Risk assessment and abatement (i.e., CRMS, Compliance program evaluation (i.e. Session D, Metrics, Bottoms-Up Surveys);Compliance communications, Compliance training, including SMT Compliance Leadership Training Concerns reporting and response. Drive leadership engagement and ownership of compliance by business leaders at HQ and business levels. Ensure robust regulatory compliance program at RO business levels and ensure compliance is embedded in all business processes. Work in an integrated manner with FSB Compliance team.Lead Compliance Review Board. Coordinate it to meet monthly and champion its function and membership within the business. Maintain and monitor metrics on compliance issues and report status to Compliance Review Board and GE Capital CCOLead AML program in RO businesses. Qualifications/Requirements YOU MUST BE ABLE TO SATISFY THE REQUIREMENTS OF SECTION 19 OF THE FEDERAL DEPOSIT INSURANCE ACT Bachelors degree 10+ years of relevant experience working in compliance. Knowledge and understanding of compliance program components, preferably in banking and/or financial services sectors. Experience managing a team and working with people across different cultures. Project management and process skills. Eligibility Requirements All applications for employment must be submitted through either www.gecareers.com (external) or the Career Opportunity System (COS-Internal) to be considered You must be 18 years or older You must be willing to take a drug test as part of the selection process You must be willing to submit to a background investigation as part of the selection process You must have unrestricted authorization to work in the United States Additional Eligibility Qualifications GE will only employ those who are legally authorized to work. Any offer of employment is conditioned upon the successful completion of a background investigation and drug screen. Desired Characteristics Juris Doctorate Proven ability to develop and execute on strategy. Strong negotiation and excellent communication/interpersonal skills. Willingness to respond quickly to ad-hoc and difficult issues as they arise in individual countries and businesses. Ability to lead by example and demonstrate GE values. Willingness to travel. ........................................................................................................................................... We offer a competitive salary, outstanding benefits package and the professional advantages of an environment that supports your development and recognizes your achievements. We are an Equal Opportunity Employer. ...........................................................................................................................................

Job Title: Compliance Examiner - Boca Raton, Florida Company: FINRA Location: Boca Raton, FL Description: Compliance Examiner - Boca Raton, Florida-000280 Description FINRA is seeking qualified individuals for our Compliance Examiner opening in Boca Raton, Florida. To be considered for this position, please submit your resume through our careers site. No phone calls please. Job Summary: The Compliance Examiner performs a variety of specific duties including applying substantial or advanced analytical skills while conducting routineand special reviews and examinations of member firms to ensure compliance with government and FINRA regulations. Essential Job Functions: Conducts on-site and off-site reviews and examinations of member firms performing the following: Evaluation of compliance programs and business structure Reviewing sales and marketing practices Financial surveillance Analyzing financial and operational conditions Preparing reports based on examination findings Interacting with investors while investigating complaints Communicating with all levels of member firm employees Qualifications Education/Experience Requirements: Bachelor's degree in Finance, Accounting, Business Administration or a related discipline A minimum of 3 accounting classes Experience in the securities industry is ideal. Directly related experience in a regulatory, compliance or investigative role in securities is highly desired Excellent interpersonal, written and verbal communication skills and computer proficiency are essential. Applicants must achieve an acceptable rating on a pre-employment assessment of writing skills. Must be able to travel up to 50% and work extended hours as needed. Working Conditions: Work is generally performed in an office environment. In addition to a competitive salary, comprehensive health & welfare benefits, FINRA offers immediate participation and vesting in a 401(k) with company match; a company funded pension plan; tuition reimbursement and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA. FINRA is an Equal Opportunity Employer, M/F/D/V About FINRA: The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA overseesnearly 5,000 brokerage firms, about 174,000 branch offices and approximately 677,500 registered securities representatives. FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 15 District Offices around the country. Created through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair, ensuring investor choice and proactively addressing emerging regulatory issues before they harm investors or the markets. Search Firm Representatives: Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

Job Title: Analyst, Compliance Company: Northern Trust Corp Location: Chicago, IL Description: Conducts investigations as a member of the Anti-Money Laundering ("AML") Financial Intelligence Unit ("FIU") to identify possible money laundering and terrorist financing activities.Knowledge/SkillsKnowledge of the Bank Secrecy Act and AML regulations required to identify potential suspicious activity. Analytical skills required to conduct thorough investigations and write meaningful comments. Time management skills required to maintain productivity levels and handle multiple demands. Communication skills required to write clearly and concisely. Interpersonal skills required to be successful in a team environment. Decision making skills required to disposition alerts accurately.Major Duties1. Completes alert investigations to determine if money laundering or terrorist financing was involved.2. Supports each investigation with the appropriate level of detailed testing. 3. Writes clear and concise alert comments, which thoroughly and accurately explain the transactions that caused the alert. 4. Contacts Relationship Managers when necessary to confirm or obtain additional information relevant to an alert. 5. Consults with management and/or other team members in those instances where transaction activity appeared suspicious.6. Prepares Suspicious Activity Reports. 7. Manages cases that resulted from alert investigations that either resulted in a SAR or required more in-depth investigation.8. Provides support to the AML investigations team in Bangalore, as needed.ExperiencePrevious experience as an AML investigator, knowledge of Fortent system, and/or CAMS certification is a plus. Knowledge of Northern Trust source systems such as Metavante Insight, ERM, Trust Servicing, XACT. Three to five years of investigative experience, or experience in audit services, monitoring and testing, and/or quality control.

Job Title: Chief Compliance Officer Company: Pink OTC Markets Inc. Location: New York, NY Description: Pink OTC Markets Inc. is a publicly traded (OTCQX: PINK) financial information and technology services company that operates the leading electronic quotation and trading system in the OTC securities market. The OTCQX, OTCQB and Pink Sheets marketplaces constitute, by dollar volume, the third largest U.S. liquidity pool for trading public company shares, after The NASDAQ Stock Market, Inc. and The New York Stock Exchange. Our technology platform provides a comprehensive suite of information products and trading services for OTC market participants. Our products and services promote market transparency, improve price discovery, facilitate regulatory compliance, and increase the quality of issuer disclosure, to the benefit of all OTC market participants. Currently Pink OTC Markets has an opening for the position Chief Compliance Officer. We are searching for a talented, energetic, results-oriented professional who will be a critical member of the Pink OTC Markets team as we register our interdealer quotation system as an with the SEC under Regulation ATS. The position will be a multi-faceted role with responsibility for compliance and regulatory reporting of our ATS and FINRA broker-dealer subsidiary (application is in process) with a strong eye on data quality and retention. The right candidate will have strong data analysis skills as well as strong domain knowledge of the equity trading marketplace and interest in market structure development. Responsibilities: Manage all aspects of the firm's Regulation ATS and FINRA member broker-dealer compliance requirements Develop and oversee a strong internal control processes for data retention and reporting under Regulation ATS and FINRA rules Interface with regulatory officials regarding OTC market trading rules and regulations Work closely with product development staff to ensure that regulatory changes are reflected in applications and data retention Analyze Trading Services processes, products and data and create functional specification documents for product/process improvement Oversee and demonstrate regulatory compliance during SEC and FINRA inspections Requirements: Series 7 and 24 5+ years relevant compliance/equity markets experience Strong data analysis and business analysis skills. Understanding of trading technologies and data retention best practices. Experience and understanding of best practices in creating business specifications, data retention policies, and compliance procedures. Excellent communication skills.

Job Title: Compliance Officer-AML Company: Citi Location: Jersey City, NJ Description: Citi, the leading global financial services company, has some 200 million customer accounts and does business in more than 100 countries, providing consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Additional information may be found at www.citigroup.com or www.citi.com . Citi Inc. and its subsidiaries ("Citi") are equal opportunity employers M/F/D/V and do not discriminate on the basis of any legally protected status or characteristic. Oversee business compliance with policies, procedures and guidelines that adhere to U.S. regulatory requirements and changes in legislation affecting the firm's operations and make corresponding adjustments to AML compliance requirements and controls. Implement AML Compliance policies to improve effectiveness and efficiency of processes to screen clients, monitor accounts, investigate unusual transactions, and report suspicious activities. Work with various Citi businesses, Technology and Operations to ensure processes are in place to identify new requirements and to implement effective and streamlined processes and solutions. Administer Term Asset-Backed Securities Loan Facility (TALF) compliance procedures, including due diligence training, and annual review and quality assurance processes. Provide responses to internal audits and regulatory requests. Provide AML oversight and advice to various CGMI business units. Experience with writing AML Policies and Procedures, 7 + years of Compliance experience, preferably AML, JD preferred.

Job Title: Reporting Design- Compliance Officer Company: Citigroup Location: Long Island City, NY Description: Brief Description of the OrganizationThe Global Function units at Citi include Audit & Risk Review, Compliance Control, AML, Citi Security and Investigative Services (CSIS), Finance, Strategy, M&A, Investor Relations, Global Public Affairs, Human Resources, Legal, and Risk Management. These functions provide critical support to the Citi business units. Citi, the leading global financial services company, has some 200 million customer accounts and does business in more than 100 countries, providing consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and private banking. Additional information may be found at www.citigroup.com or www.citi.com. Reporting Design- Compliance Officer-10023381 Description The Compliance Strategic Reporting Design and Aggregation Group is part of the newly formed Compliance Strategic Analytics Group. An analyst working with the reporting and design unit has an opportunity to develop innovative strategies for reporting across the global compliance function. Work with head of group on the development of methodologies for global harmonization of reporting fields and reports Production of corporate compliance reports Work on development of uniform reporting standards Provide customized and ad-hoc reports when requested from key constituents An analyst with this unit will report into the Director of Reporting Design and Aggregation. Qualifications 5 years work experience in financial services firm Working knowledge of banking industry Extensive knowledge of Microsoft Office applications Excellent language and writing skills Familiarity with banking metrics Knowledge of information and data structures Primary LocationNAM-USA-NY-Long Island City ScheduleFull-time Education LevelBachelor's Degree ShiftDay Job Employee StatusRegular TravelNo Office Loaction / Address:Long Island City, NY

Job Title: Senior Compliance Officer-Product Company: Citi Location: New York, NY Description: Citi, the leading global financial services company, has some 200 million customer accounts and does business in more than 100 countries, providing consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Additional information may be found at www.citigroup.com or www.citi.com . Citi Inc. and its subsidiaries ("Citi") are equal opportunity employers M/F/D/V and do not discriminate on the basis of any legally protected status or characteristic. Equities Compliance Technology Specialist The position is for an Equities Compliance Technology Specialist within Citi's Institutional Client Group ("ICG"). Candidate must have strong experience in working with equities trading platforms and working knowledge of equity securities. The position is for a Compliance Technology Specialist reporting into Markets Compliance within ICG Compliance, acting as a liaison to various Citi Information Technology ("IT") departments to address compliance controls and processes. The candidate will be responsible for developing and managing compliance technology related projects and initiatives. Additionally, the candidate will be the single point of contact for equity trading technology issues which may create compliance risk. More specifically, this position is responsible for coordinating the implementation of new regulatory requirements to ensure that the proper system enhancements have been made across various sales and trading systems for order acceptance, order routing, execution, confirmation and regulatory reporting. Provide guidance to the equities business and IT departments with the creation and implementation of new trading platforms to ensure proper controls or regulatory requirements are satisfied. Assist in retrieving data for various regulatory inquiries and examinations. Work with Equities Compliance to create new supervisory and monitoring tools to assist Compliance, In-Business Risk Management and Sales and Trading Supervisors perform supervisory and oversight functions. Candidate should have minimum of a bachelor's degree. Advanced degree or licenses, including an MBA and/or FINRA registration (e.g. Series 7, 63) is a plus; candidate should have strong technology and project management skills and the ability to coordinate compliance initiatives; working knowledge or experience associated with equity securities, equity trading systems and related businesses very desirable; general knowledge of compliance with broker/dealer rules and regulations (e.g., SEC, FINRA) associated with equities securities; excellent oral and written communication skills; experience working with various project management databases, SharePoint, Microsoft Access, Excel and Word a plus. Additional Information: Travel Percentage: 10%

Job Title: Senior Compliance Officer-AML Company: Citi Location: Miami, FL Description: Citi, the leading global financial services company, has some 200 million customer accounts and does business in more than 100 countries, providing consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Additional information may be found at www.citigroup.com or www.citi.com . Citi Inc. and its subsidiaries ("Citi") are equal opportunity employers M/F/D/V and do not discriminate on the basis of any legally protected status or characteristic. Assists the Chief OFAC Compliance Officer for Citi businesses globally, setting, developing and implementing the strategic direction in Sanctions policy for Citi businesses in globally. Prepares weekly status MIS reports, trend analysis and risk analytics. Communicate changes to the SDN list and OFAC sanctions programs. Design and development requirements of sanctions screening technology and other corporate solutions. Assess policy implementation through the review of available data. Provide Sanctions SME on Corporate wide initiatives. Approve production deployment of sanctions screening applications. Conducts investigations on sanctions related matters, including self-voluntary disclosures. Supports data gathering for Investigation and Administrative subpoenas. Designs, tracks developments and maintains the infrastructure for Global Sanctions Compliance. Tracks Corrective Action Plan's resolution. Creates indicators and metrics to monitor the health of the Program. Coordinates the development and implementation of Training Materials; evaluates training needs. At a minimum, the position requires: 8-10 years of experience in banking compliance, legal or other control-related function in the financial services industry; Extensive knowledge and expertise of AML and Sanctions regulations, risks and typologies; Experience in the design and implementation of Sanctions technology; Experience with and previous exposure to banking and AML internal control functions and regulators within the US; Excellent business intelligence and data analytics skills; An ability to lead and influence people across cultures at a senior level using sound judgment, successful execution of strategies; and with an understanding of how to operate effectively across diverse businesses; and Excellent written and verbal communication Additional Information: Travel Percentage: 10%

Job Title: Analyst, Compliance & Financial Controls (4496) Company: Reader's Digest Association Location: Pleasantville, NY Description: 4496 Job Description Reporting to Reader's Digest Association (RDA) Manager, Compliance & Financial Controls - the Analyst, Compliance & Financial Controls will assist in providing independent assurance that operating and financial controls are operating effectively within the operating units worldwide, and that the company is in compliance with best practice and regulatory compliance requirements. The position will have responsibility for assisting professional internal and external resources, writing policy updates, including providing coaching, training and oversight for RDA Employees during engagements.The candidate will be expected to work with the various constituents within the business unit to develop a network of relationships within the group, to facilitate an annual risk assessment on which a controls and compliance plan will be developed. The individual will also be expected to react to RDA business unit requests for specific assurance or controls reviews as required. Support for achieving compliance in areas such as SOX and other RDA financial policies & procedures, in terms of providing guidance and executing quality reviews and sample testing will also be required.The role will require the ability to work in a complex and dynamic business and financial environment with the flexibility to work in different countries and in a multicultural environment. The position will be U.S. based and require 5-15% domestic and international travel.Specific duties and responsibilities include: Controls: Perform a risk assessment based on interviews with business leaders, executives, and operational management. Update, develop and execute the controls & compliance testing plan based on the risk assessment. Schedule and perform risk reviews and SOX testing engagements as required. Draft reports and present findings and recommendations to line management. Agree final reports with line management and agree action plans to remediate risks and issues. Formulate recommendations to improve internal control processes and other value adding opportunities, as appropriate. Follow up outstanding action points within an agreed timetable and ensure that all issues are closed in a timely fashion. Scope of engagements will include financial controls, physical security, operational efficiencies, and compliance. The risk based approach will be expanded to include general business and financial risk. Execute engagements based on company's agreed work programs. Compliance Assistance: Assist in the completion of design effectiveness and operating effectiveness tests in conjunction with the business unit partners and the RDA SOX Practice: Assist business units in achieving SOX compliance by providing guidance and review of design and testing. Business Unit Assistance: Provide consultative assistance to business units relative to the design of internal controls and implementation of control based best practices. Assist in the performance of pre-implementation reviews of financial and operational processes with a view to building in internal controls that are commensurate with the size and complexity of the operations. Review financial and operational projects from time to time to provide an objective view to provide an assessment of the progress to date as well as the forecasts to completion. Acquisition Due Diligence: Assist in assessing controls of acquisitions/acquisition targets. Communication: Participation in internal planning meetings and regular communications within RDA Controls & Compliance Department. Regular contact with the Manager, Compliance & Financial Controls and communication of plans and activities. Regular contact with business unit management and maintenance of knowledge of business unit plans and strategies. Required Experience Candidate must have strong interpersonal skills to successfully communicate with the various constituents such as the external auditors, the enterprise and business unit leadership. A strong team-based work ethic is a must.Position requires two to five years of relevant experience in a similar capacity at an enterprise or business unit level, within an internal audit department or external audit firm. A strong understanding of financial systems and processes is important.A bachelor's degree is a must; certification as CPA or CIA is preferred.A strong background in process and controls and understanding of the operating business environment from a controls and compliance perspective is critical. A robust knowledge and recent experience in auditing is essential.Excellent writing and communication skills are essential. The candidate must be a proactive individual, who is able to work independently in a fast-paced environment who also understands the required depth and frequency of communication to the necessary function management.Consistent common sense, pragmatism and excellent judgment skills will be critical to success in the function. Job Location Pleasantville, NY, US. Position Type Full-Time/Regular

Job Title: Compliance Officer - Wealth Management Company: Bank of the West Location: San Francisco, CA Description: Bank of the West seeks a Trust Professional for our Wealth Management Group in San Francisco, California.Bank of the West is an institution whose history spans over 130 years, and whose geographical reach extends over 19 states, as well as over 84 countries through our affiliation with BNP Paribas, one of the world's six strongest banks according to Standard & Poor's. From our earliest days as a community bank, our focus on relationships, exceptional customer service and being a good corporate neighbor has never wavered. Today, as one of the leading regional financial services companies in the nation, our team members are dedicated to being our customers' trusted financial partners whether they're opening a first account, purchasing a home, running a small business, or leading a large corporation. When you join Bank of the West, you will be a part of an organization that has learned how to grow and adapt in an ever-changing environment. And most of all, you will become part of a company that recognizes that our success is rooted in our relationship banking model and in the satisfaction of our customers. That's why Bank of the West was ranked the highest in customer satisfaction among retail banks in the West. In this compliance and auditing role, you will be responsible for ensuring compliance with all applicable laws, regulations, policies and procedures.Position Accountabilities:1. Identifies compliance and control problems or potential problems, and recommends corrective action.2. Monitors correction action process on outstanding regulatory or audit findings to ensure item is satisfactorily resolved.3. Conducts a variety of special studies and analyses in division compliance, including preparation of Board and Committee presentations.4. Participates in the review of current policies and procedures, with recommendations for appropriate modifications. Participates in developing, recommending and implementing policies and procedures for the division.5. Identifies and determines specific training needs for division staff as it relates to compliance issues and participates in designing and implementing training programs.6. Develops and maintains a thorough knowledge of laws, rules and regulations applicable to the trust industry. Keeps abreast of regulatory developments and advises management regarding new or amended regulations and their impact on the bank.7. Obtains and maintains current designations, certifications and licenses through continuing education.8. Establishes and maintains effective working relationships with all wealth management staff, strategic partners and other bank personnel.9. Performs other duties as assigned.Minimum Requirements:Req Education or Equivalent Experience Bachelor's degreePreferred Education or Equivalent Experience Certification in compliance from a nationally recognized compliance schoolRequired Experience Five to seven yearsField of Experience Strong knowledge of laws and regulations, policies and procedures related to trust and fiduciary activities Administrative/Technical Skills Able to handle multiple tasks/projects Analytical and research Trust product and service knowledge Compose letters/memos Demonstrated leadership skills Planning and organizing Presentation skills Written and verbal communicationBank of the West and its subsidiaries are equal opportunity/affirmative action employers. It is our policy to recruit, advertise, employ, promote, transfer, discipline, and discharge without regard to race, religion, color, national origin, age, physical or mental disability, veteran status, sex, and any other basis protected by federal, state, or local law. Bank of the West Community Focused Banking Strength, Stability, Reliability, and Trust