Compliance Specialist Jobs

Job Title: Financial Compliance Analyst - Great Opportunity Company: Company Confidential Location: Phoenix, AZ Description: This is an outstanding opportunity at a growing company. Responsibilities Drive the development and documentation of various accounting policies and procedures, including technical accounting research to ensure the company is in compliance with US GAAP. Assist with special projects that will require gaining an understanding of the business, the processes that support the business and working with other personnel to discover the root cause of issue and develop a reasonable solution. Evaluate business processes to determine adequacy of controls, compliance with policies and procedures and best practice solutions Identify, document, test and remediate potential risk areas and support the maintenance of Sarbanes-Oxley section 404 compliance Identify opportunities for efficiencies and improvements to processes, controls and technology systems related to internal control functions Drive/manage new process and systems initiatives from a controls perspective Contribute to process re-engineering and process improvement initiatives by challenging current processes and suggesting improvements or alternatives Assist external auditors as needed Experience and/or Education BS or BA degree in accounting or finance CPA and at least 3 years public accounting experience 4-6 years of financial analysis / accounting experience Strong understanding of US GAAP and other regulatory or best practice requirements (SOX, SEC, etc) Prior experience with technical accounting, auditing, and SOX documentation and testing Experience in a manufacturing or software development environment preferred Use of risk assessment concepts and creation of a control environment to optimally balance control activities against business needs and efficiencies Ability to transfer and apply procedures and concepts from one technical/subject area to another area Proficient with a variety of computer software applications in word processing and spreadsheets (MS Excel, & Power Point) Ability to think strategically, prepare and present complex data in a simple, understandable manner and have strong written, verbal communication and listening skills Personal Competencies Executes all duties with follow-through and professionalism, with high level of business ethics Strong attention to detail and analytical skills Must have high level of interpersonal skills to handle sensitive and confidential situations and/or information. Maintains strict confidentiality regarding all matters concerning the company, employees and its customers Works well in a team environment and has the ability to work with individuals from all business areas Demonstrates high sense of urgency and personal initiative related to customer service and problem resolution Utilizes excellent time management, decision-making and organizational skills. Ability to multi-task and thrive under pressure

Job Title: AML/BSA Compliance Examiner II -Compliance Policy/Procedures Company: Synovus Location: Columbus, GA Description: AML/BSA Compliance Examiner II- Columbus, GA Responsible for BSA/AML/OFAC Compliance functions for assigned regions/business segments/BSA/AML/OFAC Compliance units within the financial services holding company to fulfill regulatory compliance management requirements in support of the enterprise-wide BSA/AML/OFAC compliance program. Job Duties and Responsibilities: May supervise the activities of exempt/non-exempt staff in BSA/AML/OFAC compliance functions within assigned regions/business segments/BSA/AML/OFAC compliance units in: suspicious activity monitoring and SAR and CTR reporting; identification and risk rating of higher risk customers; determining eligibility for CTR exemption and OFAC screening. Identifies BSA/AML/OFAC compliance risk and helps ensure that proper controls, procedures, processes and training are in place to mitigate these risks by assisting in the development and revisions to appropriate policies and procedures. Detect patterns, trends and unusual activity through monitoring suspicious transactions and reviewing various bank reports. Investigates suspicious transactions by gathering information from various banks' sources. Generates/approves suspicious activity reports. Supports the production of reports and the risk matrix for use by the department's senior management in communicating BSA/AML/OFAC compliance risk and issues to senior management, committees and the Board of Directors. Supports BSA/AML/OFAC compliance regulatory examinations and audits for assigned region/business segment/BSA/AML/OFAC compliance unit; responds to any deficiencies noted for assigned area and ensures that corrective actions are implemented. Conduct testing to evaluate compliance with regulatory requirements; performs compliance evaluation for special projects or program enhancements. Perform other related duties as required.In order to become a team member, all candidates must pass several background checks to include Credit, Criminal Background, Drug Screen, Reference Checks, Finger Print Checks, and others. Synovus Financial Corp. is an Equal Opportunity Employer supporting Diversity in the workplace. M/F/D/V. Synovus Financial Corp. is a tobacco-free company. In order to be considered for this position, candidates must be eligible to work in the U.S. and will not need sponsorship from the employer now or in the future, in order to obtain, extend or renew authorization to work in the United States.

Job Title: Senior 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. Develop and implement AML Compliance policies to improve effectiveness and efficiency of processes to screen clients, monitor accounts, investigate unusual transactions, and report suspicious activities. Establish 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. 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. Establish and 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, 10 + years of Compliance experience, JD preferred.

Job Title: Chief Compliance Officer Company: UHS of Delaware, Inc Location: King of Prussia, PA Description: Oversees the company's healthcare compliance program. Establishes and enforces written policies, procedures and standards of conduct. Reviews and evaluates compliance issues/concerns within the organization. Prepares and conducts appropriate training for all affected employee groups. Communicates periodically to senior management and the Board of Directors on compliance efforts and progress. Identifies potential areas of compliance vulnerability and risk. Develops and implements plan for issue resolution. Provides guidance on how to avoid or handle similar future situations. Develops and maintains policies and procedures connected with the Corporate Compliance Program to prevent illegal, unethical or improper conduct. Manages the operation of the Program. Develops and maintains the company's Standards of Conduct. Provides current guidance to management and employees. Collaborates with other functional areas (e.g. Finance, Human Resources, Internal Audit, Risk Management) to investigate and resolve compliance issues. Develops and oversees a system for uniform handling of these issues. Job Requirements: Excellent organization, communication and collaboration skills. Ability to manage and respond to multiple priorities in a fast paced environment. Experienced in fraud and abuse laws in addition to other healthcare compliance issues. Demonstrated compliance leadership experience in a healthcare system. Experienced with operational, financial, quality and human resource issues and procedures. Maintains current expert knowledge of state and federal regulatory and legal environments related to healthcare organizations. Some travel required. Click Here To Apply https://uhs.ats.hrsmart.com/cgi-bin/pm/click.cgi?job_id=37755&site_id=35

Job Title: 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: Cheif Compliance Officer Company: Robert Half Finance & Accounting Location: Des Moines, IA Description: ~ Cheif Compliance Officer ~ JobId: 01500-116550 City: Des Moines State: IA Zip Code: 50309 Description: CCO SEARCH!!! Our client, a broker-dealer, is seeking a multi-tasking, team player to contribute to the forward bound direction of the organization!! The Chief Compliance Officer (CCO) is responsible for ensuring that the Firm and its registered representatives, registered principals and other associates are in compliance with all laws, rules and regulations by which they are governed. This key person must be knowledgeable about the laws, rules and regulations to which the Firm is subject and should understand the steps needed to maintain the Firm?s compliance program and adapt to its changing regulatory environment. FINRA Series 7, 63, and 24 licenses are required. This person will be responsible for leading, managing, coordinating, and supervising all regulatory compliance activities for the Firm including all agents, employees, representatives, and offices of supervisory jurisdiction. This person will also be responsible for developing and maintaining firm-wide compliance programs, policies, procedures, plans and controls consistent with regulations and regulatory policy applicable to securities laws. This is a very visible position within the entire corporation; top notch communication skills are expected!! If this sounds like something that you have proven experience in, specifically at least 10 years, a MA or JD (preferred) and an attitude that you will do what it takes to get the job done than call me today!!! To $150K depending on experience! For IMMEDIATE and CONFIDENTIAL consideration, please call Terra Williams at Register to View or e-mail resume to Register to View referencing job order number 01500-116550.

Job Title: Compliance Officer Company: Kforce Finance & Accounting Staffing Location: New Castle, DE Description: Status: Full-Time, Temp Level: 2-5 Years Experience Job Location: New Castle, DE Job Ref Code: FAAQG1003801 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . About Kforce Finance & Accounting . . . . . . . . . . . . . . . . With over 45 years of experience, Kforce continues to set the standard in the finance & accounting staffing & solutions industry. With an unwavering commitment, Kforce strives to provide candidates with exceptional service in meeting their employment and career needs. Kforce provides consulting, contract-to-hire or direct hire positions with a wide range of organizations; from small, privately held companies to large, multinationals. Our finance & accounting specialty areas include: accounting, finance, compliance, audit, credit/collections/financial administration, title/escrow, mortgage, banking/credit union, administrative and insurance. Backed by approximately 1,900 staffing specialists, Kforce is committed to "Great People = Great Results" for our valued clients and candidates. Our Firm operates with 62 offices in 41 markets in North America and two in the Philippines. Kforce is an EEO/AA Employer . POSITION Compliance Officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Job Description: Our client, a well-known financial services institution in Delaware is seeking new Compliance Officers for their teams. These are contract roles. This person must be able to review the correspondent banking wire alerts for AML purposes. AML experience is preferred. Qualifications: Analytical Skills Confidentiality Data Entry Handles high volumes Operates office equipment Good organizational skills Handles multiple tasks For immediate consideration, please contact Register to View with an updated Word format of your resume. This position pays 22.00 hourly Apply for this job Great People = Great Results

Job Title: Analyst, Compliance Company: LPL Financial Location: Charlotte, NC Description: LPL Financial has a full-time opportunity for a Compliance Analyst, Supervisionin the Compliance department. This position will be responsible for assisting the firm with regard to regulatory and compliance matters. Supervising Branch Office Managers and keeping up to date with Company and industry regulations regarding financial institution activities. Work will involve all aspects of compliance support for a sophisticated full service brokerage and investment advisory business. Supervising Branch office managers, performing daily and periodic supervision of trading activity and other activities of OSJ's; researching and responding to regulatory inquiries and examinations; writing policies and procedures; making effective use of information systems; ensuring that Financial Advisors are meeting the standards and requirements set by regulatory agencies and the company; leading investigations of questionable sales activity, acting proactively to identify potential issues and leads staff initiatives to improve and streamline supervision procedures; serving as an expert resource on compliance supervision issues to Financial Advisors; and performing other duties as assigned. Travel: Minimal Candidate must be familiar with the SEC, MSRB andFINRA regulatory environment and requirements. Helpful experience or knowledge would include: regulatory agency or self-regulatory organization; branch office supervision; front office or back office of a brokerage firm or investment adviser. Bachelor's degree in business related field or equal experience Series 7, 63 and 65 (or 7 and 66) required. Series 24 required Series 3, 4, 27 and 53 Registrations and Variable Life and Annuity Registrations a plus. 2+ years previous securities compliance experience Ability to function cooperatively, and build consensus on compliance issues among managers, employees and representatives Excellent oral and written communication skills Ability to meet deadlines in a fast paced environment Strong analytical skills Knowledge of FINRA, SEC, MSRB and State rules and regulations We offer an excellent salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE If interested, please apply online at http://track.tmpservice.com/ApplyClick.aspx?id Register to View -5672 We offer an excellent salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE PLEASE NOTE: Valid LPL Financial job postings will not request personally identifying information (such as bank account information, social security numbers, credit card numbers, user names and passwords, etc.). If you are contacted by someone claiming to represent LPL Financial and are asked to provide the same type of information, be aware that LPL Financial does not request this type of information of job applicants, and this inquiry could be a form of "phishing." To verify the validity of LPL Financial job postings, please go to our Careers page on www.lpl.com, as all open positions are posted on this Web site. LPL is an equal opportunity employer and in accordance with state and federal laws, will not descriminate against any employee or applicant for employment on the basis of race, gender, sexual orientation, color, national origin, ancestry, religion, age, disability, handicap or veteran status.

Job Title: Tax Analyst - Compliance & Accounting Group - AVP/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 FinanceThe Finance Division's function is instrumental to the organization, as rapid pace of change requires a superior control environment, and mandates the need for value-added assessment and analysis of day to day business activity. Its role is to maintain a controlled environment in relation to general ledger accounting, market valuations, revenue recognition, and balance sheet and risk reporting. As members of a global team, the Finance Division provides its employees with the opportunity to embrace these challenges, ensuring its mission is fulfilled. Consequently, we choose to invest in top talent to join our team and help build the future success of Deutsche Bank.Tax Analyst - Compliance & Accounting Group - AVP/VPOur Tax Analyst position provides an opportunity to focus on domestic and international tax compliance and accounting issues, while getting exposure to research and planning projects.Responsibilities Include: Prepare and analyze federal and state income tax returns, annual extension and quarterly estimated tax calculations. This requires keeping updated on federal and state law changesPrepare and analyze separate entity tax provisions and work papers, including timely identification of new issues.Review, and analyzefederal and state income tax returns, federal extensions and quarterly estimated tax calculations for entities prepared in our offshore service centerReview, and analyzethe timely completion of separate entity tax provisions and work papers, including timely identification of new issues for those entities prepared in our offshore service centerReview and analyze tax account analysis and reconciliations.Be able to explain the rationale for activity being booked to the tax accounts for the assigned entities, both current and deferred for those entities prepared in our offshore service centerPerform and analyze tax account analysis and reconciliations.Be able to explain the rationale for activity being booked to the tax accounts for the assigned entities, both current and deferred. Perform tax research, analysis of tax law, company financial statements and support special projects.Maintain and enforce adherence to internal controlsSkills Required:Bachelors Degree in Accounting or similar field required; Masters Degree in Taxation, CPA, or equivalent experience preferred.3-5 years of corporate tax experience in a Big 4 accounting firm and/or financial services corporate tax department.Knowledge of US tax terminology, concepts, practices and procedures. Knowledge and understanding of FAS 109 a plus.PC proficient with experience in Excel and various tax application software (e.g., Vertex); Experience in SAP and online tax research tools a plus.Knowledge of operations in the financial services industry is a plus. Key Skills: High energy team player with excellent attention to detail, problem solving, analytical abilities and a good communicator. Deutsche Bank is an Equal Opportunity/Affirmative Action (M/F/D/V) employer.

Job Title: Data Analytics- Senior 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. Data Analytics- Senior Compliance Officer-10023366 Description The Compliance Strategic Data and Metrics Group is a newly formed business unit that is tasked with developing metrics and benchmarks that pro-actively identify risks for the Global Compliance Group. An analyst employed with this group will have the opportunity to be in the forefront of developing cutting edge metrics and data mining techniques that provide senior management with quantifiable measures that track the current compliance risk environment. The primary functions of the Data Analyst are: Work on the development of data mining strategies and approaches Work on the development of common taxonomy for global compliance Work with team lead on developing and testing data benchmarks aligned with strategies and priorities of global compliance Build top level dashboards that provide metrics and key risk elements Development and maintenance of compliance risk model The strategicdata analyst reports into the Lead for the Compliance Strategic Data and Metrics Group. Qualifications 10 years work experience in financial services firm Working knowledge of banking industry Extensive knowledge of Microsoft Office applications Excellent language and writing skills and ability to communicate complex ideas Familiarity with banking metrics Knowledge of information and data structures Strong quantitative analytics skills 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