Associate, Compliance Job Description

Associate, Compliance Job Description

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Associate, compliance provides guidance and support in India on national industry codes and regional/international industry codes, government regulations including the Foreign Corrupt Practices Act and other initiatives sponsored by the Office of Ethics & Compliance.

Associate, Compliance Duties & Responsibilities

To write an effective associate, compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included associate, compliance job description templates that you can modify and use.

Sample responsibilities for this position include:

Review advertising and marketing materials to ensure compliance with regulations and firm policies and procedures
Assist in developing and implementing policies and procedures reasonably designed to prevent violations of the Advisers Act and other applicable laws and regulations and to address risks and conflicts of interest
Assist in the preparation and review of training materials and other communications to ensure business units meet maintain compliance requirements help to educate internal clients on changes in rules and regulations and their implications for our business
Periodic reviews / monitoring to ensure compliance with relevant regulatory and internal policies and procedures
Assist in the preparation and review of policies, procedures, training materials and other communications to ensure business units meet and maintain compliance requirements
Monitoring and carrying out the implementation of procedures to address new regulatory rules and requirements related to the firm's research and trading
Conducting anti-money laundering and OFAC due diligence on prospective clients and securities issuers, in accord with the adviser's written policies and procedures
Assisting with the development and drafting of compliance policies and procedures
Assist the Firm and its UK subsidiary with adherence to internal policies and procedures
Assist with writing, reviewing, and testing compliance policies and procedures

Associate, Compliance Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Associate, Compliance

List any licenses or certifications required by the position: CFA, ACAMS, NRTL, US, CIPP, ACE, AS9100, CAAC, EASA, FAA

Education for Associate, Compliance

Typically a job would require a certain level of education.

Employers hiring for the associate, compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Finance, Business, Education, Accounting, Law, Associates, Management, Legal, Economics, Science

Skills for Associate, Compliance

Desired skills for associate, compliance include:

Commodity Exchange Act and the rules of the National Futures Association
Investment management and broking sectors
Regulations
Excel
Practices
Procedures
Licensing requirements in other jurisdictions advantageous
Microsoft Office
Principles
Word

Desired experience for associate, compliance includes:

Ability to review client accounts, reports, trade activity
Strong Japanese and English written and verbal communication skills
Bachelor's or Master's degree in Accounting, Finance or Legal
Escalate suspect emails to appropriate supervisors and Compliance/CCO
Follow-up with supervisors as necessary or as directed by Compliance
Document review, escalation and follow-up

Associate, Compliance Examples

1

Associate, Compliance Job Description

Job Description Example
Our company is looking to fill the role of associate, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for associate, compliance
  • Assist in monitoring of insider trading policies and procedures, including review of investment research and due diligence of research service providers
  • Perform transactional, periodic, and forensic testing to assess the adequacy of the program’s policies and procedures
  • Conduct review and testing of compliance procedures, including email review
  • Drafting and maintaining policies and procedures
  • Maintain the Firm's Supervisory Organization Chart, table of Supervisors in the Firm's Written Supervisory Procedures, and employee registration profiles
  • Draft and maintain policies, procedures, and training materials to enhance program efficiency, employee understanding, and mitigate related risk
  • Assist in the annual review of compliance policies and procedures
  • Assist in monitoring and carrying out the implementation of procedures to address new regulatory rules and requirements
  • Support the Client Money Monitoring Program by performing reviews of compliance with policies and procedures
  • Monitor compliance with the firm’s Code of Ethics and related policies and procedures
Qualifications for associate, compliance
  • Assist with the tracking of regulatory referred complaints and necessary follow ups to appropriate lines of business for draft responses
  • 1 year of Operations or Business experience
  • Provides administrative support to the Insurance compliance team
  • Participate in and provide compliance support for product development, projects and corporate initiatives
  • Draft and participate in the presentation of management and board reports on compliance matters
  • Assist in coordination of federal and state regulatory examinations conducted by external parties as needed
2

Associate, Compliance Job Description

Job Description Example
Our company is hiring for an associate, compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for associate, compliance
  • Stay current on relevant rules and regulations, and communicate updates and guidance to appropriate parties
  • Perform regular testing to ensure the firm is in compliance with all policies and procedures
  • Perform forensic testing to assess the adequacy of the firm’s policies and procedures, including personal trading reviews and email surveillance
  • Oversee trading compliance policies, procedures and systems, including maintaining and manage restricted and watch lists
  • Updating and drafting compliance policies and procedures
  • Researching relevant regulations
  • Working with the Deputy CCO to draft written compliance policies and procedures
  • Monitor employee compliance with those policies and procedures
  • Maintain a working knowledge of all Employee Compliance, Related Policies and Key Operating Procedures
  • Assist with the preparation and review of various regulatory filings
Qualifications for associate, compliance
  • Conduct a robust, risk-based compliance testing and reporting framework
  • Assist Bank lending operations in the design, development and evaluation of remediation plans to address identified compliance issues
  • Assist in the identification, documentation, evaluation and reporting on compliance risks associated with new and developing products and services those associated with changes to existing products
  • Assist with the preparation, review
  • Provide secondary coverage to the OTC Clearing, and FX business unit
  • Identify regulatory trends and developments, advising the business on how this may impact their current activities, and working with supervisors to implement any required changes to current policy
3

Associate, Compliance Job Description

Job Description Example
Our company is looking for an associate, compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for associate, compliance
  • Review portfolio control reports to ensure operational and investment guidelines/mandates are adhered to
  • Participate in allocation oversight committee meetings for Real Estate, Commercial Mortgages and Agriculture
  • Produce quarterly reports to Senior Management regarding the investments
  • Research regulatory matters and communicate results to business partners
  • Maintain appropriate compliance books and records
  • Prepare regulatory filings and reporting such as Form ADV, Form PF, AIFMD and filings related to the firm’s various foreign offices, as applicable
  • Review of firm marketing presentations and other client and prospect communications
  • Assist with compliance monitoring, board of directors reporting and regulatory filings related to the firm’s registered funds and in compliance with the requirements of the Investment Company Act of 1940
  • Support the firm’s compliance with various FINRA regulation related to its affiliated broker/dealer
  • Support and lead medium to long-term compliance initiatives and projects
Qualifications for associate, compliance
  • Some basic knowledge of the banking industry
  • Respond to miscellaneous day-to-day matters and ad hoc requests from business and operations teams and support the firm’s legal professionals on an as-needed basis
  • Bachelor’s degree in finance or business or equivalent work experience required
  • Review third parties
  • Monitor transactions for trends/patterns and report suspicious activities
  • Generate period reports from STB Detector
4

Associate, Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for an associate, compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for associate, compliance
  • Conduct initial compliance meetings with RRs and NRFs, as necessary
  • Provide periodic status/data for management reporting
  • Submit responses to regulatory inquiries via the gateway
  • Monitor industry-wide compliance initiatives important federal, state, and non-U
  • Administer the compliance programs related to the Core Compliance Program
  • Field enquiries from employees and management on compliance matters
  • Assist on a variety of special projects and firm initiatives
  • Perform and support regulatory reporting functions
  • Review and research operational incidents for regulatory impact, coordinate entry into case management system
  • Review and research issues relating to operational queries and interact with teams to resolve
Qualifications for associate, compliance
  • Proficient in the rules and requirements of the Investment Advisers Act of 1940, ERISA, NFA/CFTC
  • 5+ years experience in Broker-Dealer registrations
  • Provide support for regulatory examinations including coordination of data requests
  • Review daily / weekly / monthly operational escalation reports against regulatory obligations, and identify potential issues to the Compliance Director
  • Provide support for projects including researching regulatory requirements to ensure regulatory compliance requirements are adequately addressed in new proposals or in process change proposals
  • Participate in calls to coordinate with global colleagues on issues having cross-border application
5

Associate, Compliance Job Description

Job Description Example
Our company is looking to fill the role of associate, compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for associate, compliance
  • Assist with Form PF, Form ADV, and other regulatory filings
  • Reviewing subscription documents for new investors
  • Managing assessment of gifts and entertainment activities
  • Participate in risk assessment analysis and documentation
  • Draft periodic and annual reports documenting compliance reviews
  • Maintain compliance calendar and project-manage departmental initiatives
  • Assist with the preparation of regulatory filings (e.g., 13D/G, HSR, ADV, PF, CFTC, Blue Sky)
  • Review marketing materials, RFPs / DDQs and public communications for compliance with applicable regulatory and company standards
  • Participate in due diligence/oversight of firm service providers
  • Assist CCO in preparing for and responding to regulatory inquiries and examinations from regulatory bodies
Qualifications for associate, compliance
  • The ability to clearly communicate with various departments within the organization
  • Assist CCO in preparing and conducting internal compliance training programs
  • Assist in reviewing timely implementation of regulatory changes
  • Assist in monitoring timely implementation of action items merging from regulatory exams/reviews
  • Facilitate review of adherence to regulatory due diligence requirements in respects of public issues managed by Equity Capital Markets (ECM)
  • Tracking compliance with other regulatory requirements applicable to IB and ECM/DCM business

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