Compliance Specialist Jobs

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: VP-Investment Advisory Compliance Officer Company: The Forum Group Location: New York, NY Description: Key responsibilities will include:Assisting in all aspects of compliance with the Investment Company Act, Investment Advisers Act, and ERISA, as well as specific fund restrictions for all institutional clients and proprietary/sub-advised 40 Act Funds that are managed by the firm. Responsibilities include: reviewing potential guideline issues, supervising the monitoring of regulatory requirements, and assisting in the development and maintenance of the firm's compliance program. Serve as a liaison between the business and Compliance Assist the business in their review of pre-trade alertsProvide real-time advice to front officeInteract with Monitoring to the extent necessary to provide guidancePoint of contact for the on-boarding of new accounts, performing a preliminary review of new and amended client investment guidelines/restrictionsAssist the guideline monitoring and surveillance groups with the resolution of breaks and errorsReview of new products and new instrument to ensure they are appropriately developed/launched Other duties as necessary and/or assignedRequirments:Bachelors Degree7+ years of compliance experience in financial services with a focus on fixed income products, preferably within an asset management firm.Management experience a plus but not required.Strong understanding of financial instruments, particularly fixed income products and portfolio management/trading systems issues.

Job Title: COMPLIANCE OFFICER BOSTON INVESTMENT FIRM Company: Robert Half Finance & Accounting Location: Boston, MA Description: Job Title: COMPLIANCE OFFICER - BOSTON INVESTMENT FIRM JobId: 02100-120150 City: Boston State: MA Zip Code: 02110 Description: Contact Tim Keefe at Register to View for fastest consideration on this position. COMPLIANCE MANAGER - FULL OR PART TIME - BOSTON INVESTMENT FIRM. An investment firm in Boston is seeking to hire a financial service professional to oversee its compliance function. the ideal candidate will possess a college degree, along with demonstrated investment industry experience. the person can have a compliance, operations or regulatory. the position can be full time or part time, depending upon the candidate's qualifications and requirements. The firm will offer a competitive compensation package. again, for fastest consideration, please contact Tim Keefe at Register to View

Job Title: Chief Compliance Officer Company: Company Confidential Location: Boston, MA Description:   Normal 0 false false false MicrosoftInternetExplorer4   /* Style Definitions */ p.MsoNormal, li.MsoNormal, div.MsoNormal Register to View Section1 div.Section1 -->  /* Style Definitions */ table.MsoNormalTable Position DescriptionHedge fund is a SEC registered investment adviser that manages approximately $400 million across client accounts.  The firm is growing rapidly and is currently searching for an experienced professional to assume the role of Chief Compliance Officer with responsibility for compliance and regulatory affairs impacting the firm and the various client accounts it manages. A successful candidate will have at least 2 years of experience in financial compliance and/or compliance operations, experience with managing and/or overseeing the compliance program for a financial services firm that is registered with a regulatory body (e.g., SEC, FINRA, etc.), conducting annual and periodic compliance reviews and analyses, maintenance of the firm's compliance manual, code of ethics and various documentation (Form ADV, investor communications, marketing materials, etc).  The role requires an independent, critical thinker with strong personal and problem solving skills as well as accomplished professional and educational background.  Part-time and full-time candidates will be consideredCompensation: Total compensation package will be competitive and commensurate with a candidate's experience and performance.

Job Title: Bilingual Compliance Officer Company: Robert Half Finance & Accounting Location: New York, NY Description: Job Title: Bilingual Compliance Officer JobId: 02944-101516 City: NEW YORK State: NY Zip Code: 10005 Description: Robert Half Financial Services group works with some of the most prestigious companies in the Financial Services sector. As part of Robert Half International, we draw on the strength of the world leader in specialized staffing. We offer top assignments covering specialties such as banking operations, commercial lending, compliance, derivatives, fund/hedge fund accounting, investment analysis, risk management, and middle/back office roles. Our client, is looking to add a bilingual Compliance Officer to their NYC office. Candidates must have: -Undergraduate degree -At least 2 years compliance experience -Knowledge of US Patriot Act, BSA, OFAC -Experience working with KYC and AML policies and procedures -Experience monitoring both internal and external communication -Some experience working with World-Check and Lexis Nexis -Fluency in Spanish Please do not apply if you do not speak Spanish. This role is an excellent opportunity to build your career with a market leader. If you are interested, please send your resume to Register to View We thank all applicants for their interest, however only those under consideration will be contacted.

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.

Job Title: Vice President & Chief Compliance Officer Company: Transamerica Financial Location: Saint Petersburg, FL Description: Description:Assists and advises in supporting and maintaining a supervisory structure for the field force and Home Office; Oversee the firm's compliance with FINRA Rules 3012 and 3013; prepares annual RIA report; oversees the transaction monitoring system for detecting sales practice issues; establishes and maintains a training and communications program to increase compliance awareness of field force and Home Office; oversees Compliance Department approval of pending registrations within licensing guidelines; establishes annual goals for department and oversees budget planning and major expenditures; coordinates the firm's response to regulatory inquiries and on-site examinations; coordinates with Supervisory Area in special investigations of compliance problems resulting from audits, monitoring and customer complaints; oversees the firm's customer complaint policies, procedures and reporting; advises OSJ managers, registered representatives and other Home Office departments on compliance matters; develops and delivers compliance presentations/talks and training sessions for various sales meetings; represents the firm's Compliance Program in inter-departmental and inter-company activities and at industry functions; chairs Compliance Committee and Scrub Committee; participates on Product Due Diligence Committee, Registration Guidelines Committee, and Special Review Committee; prepares reports to the Board of Directors on Compliance matters; manages inspections of the firm's Investment Advisor business; develops, updates and maintains Procedures Manual and Written Supervisory Procedures; prepares Quarterly Corporate Compliance Report; oversees the firm's Anti-Money Laundering efforts; serves as a relationship manager on compliance issues with Reps; other duties as assigned.______________________________________________________________________If you do not have access to a computer, the Internet or are otherwise unable to apply online, you may apply in person Monday through Friday from 7:00am to 7:00pm.______________________________________________________________________

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: Fixed Income Compliance Officer Company: Top Financial Services Firm Location: New York, NY Description: Job Description Top-tier Financial Services firm is seeking a Fixed Income Compliance Officer. This fast paced position will report to the Chief Compliance Officer and will be responsible for:Ensuring that the Firm’s multiple fixed  income  trading desks (ABS/ MBS/ CMO/ CLO/ CDO/Corporates/Agencies/Treasury/Municipals/Repos) operate in compliance with securities regulation and securities law through various proactive surveillance, audit and training functions including:Monitoring and documenting the Firm’s trade flows, order routing/execution and trade reporting functions for best practices and irregularities.Review of the Firm’s fixed income mark-up policies and documenting the Firm’s IM-2440 compliant policy.Documenting, categorizing and tracking of the Firm’s error trades and error trading policies.Perform reviews and testing on the Firm’s TRACE, MSRB RTRS, and ACT trade reporting functions.Qualifications:            Candidate should have 2-3 years experience in implementing/auditing compliance with FINRA/SEC laws and regulations applicable to FINRA registered broker-dealers.BS/BA in related field preferred.FINRA Series 7 and 24 are preferred.

Job Title: Senior Analyst, Compliance Company: LPL Financial Location: Charlotte, NC Description: LPL Financial is looking for a full time Home Office Supervision Senior Analyst within our Compliance Department. This position is responsible for serving as OSJ/Branch Office Manager for LPL Financial Advisors across the country. This will entail review and approval of 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 business activities and client correspondence, among other duties. Position will also require interaction with several key LPL Financial departments including Branch Development, Transitions and Operations. The Senior Analyst will also be expected to assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.  This position will also be responsible for representing the department as a point person for questions and escalations and will provide training to staff as needed.Bachelor's degree in business, finance or related fieldA minimum of 3 years compliance experience and 5 years industry experienceCandidate must be familiar with the SEC, MSRB and FINRA rules and regulationsSeries 7, 24 or 9 & 10, 63 or 66 Licenses requiredSeries 4, 53, and Variable Life & Annuity License a plusMust have extensive product knowledge including but not limited to annuities, options, and alternative investmentsStrong oral and written communication skills, ability to multitask, strong attention to detail and the ability to work in a fast paced/high volume environment is essential for this position.Must have demonstrated ability to train others and prior experience in a leadership capacity.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 -5772 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.