2 Compliance Associate Jobs in Greenwich, CT
Rightworks Inc. is Hiring a Compliance Associate Near Greenwich, CT
- Conduct compliance reviews in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks
- Develop and maintain effective partnership with the Front Line Unit, Risk, and Compliance teammates the subservicers and the testing vendor
- Evaluating and documenting results of test work
- Plan inspections and reviews by assessing key risks pertinent to the business, gathering records, developing detailed test plans and analyzing the information to identify control issues
- Supervise team members, as applicable, relating to the completion of testing and the review of documentation
- Support business unit management by researching questions or handling compliance-related issues as they arise, escalating when appropriate
- Working with business compliance officers and management to agree on appropriate action plans
- Writing reports presenting review results, articulating the rationale for findings, the risks posed and actions required to address those risks
- Following-up on action plans to verify that corrective action has been effectively implemented
- Meeting standards for delivering high quality value added compliance risk reviews
- The job holder is expected to lead the development and management of assurance activities to ensure the Bank complies with OSFI’s E-13 guidelines with minimal guidance
- 2 years with the SEC, FINRA, an exchange, law firm, or another broker-dealer
- Electronic Trading Experience
- Knowledge of broker-dealer, investment adviser and/or mutual fund/variable product rules and regulations
- Ability to multi-task with minimal supervision.
- Ability to work in a small-team environment as well as independently.
- Ability to coordinate with other control areas, such as Internal Audit and Risk Management
- Solid academic background
- Excellent degree of comfort and fluency with technology and computers.
- Understanding of how technology is applied to regulation and business.
- Brilliant oral and written communication skills.
- Ability to develop compliance solutions within regulations and with sound business judgment.
- Must have industry regulations or a member of the bar in good standing of any US state or the District of Columbia preferred.
Job Summary
Full Time
IT Outsourcing & Consulting
$99k-124k (estimate)
06/01/2024
07/10/2024
rightworksinc.com
Austin, TX
25 - 50
IT Outsourcing & Consulting
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The job skills required for Compliance Associate include Risk Management, Written Communication, Internal Audit, Trading, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Associate. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Associate. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Associate positions, which can be used as a reference in future career path planning. As a Compliance Associate, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Associate. You can explore the career advancement for a Compliance Associate below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Associate, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Associate for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Associate job description and responsibilities
Compliance officers organize regular training sessions for employees to communicate key regulatory changes and updates.
04/12/2022: Tallahassee, FL
Perform other compliance-related responsibilities and special projects as needed.
05/02/2022: Chico, CA
They perceive the compliance risks and regulation measures within the business.
03/04/2022: Rochester, MN
Compliance associate understands the system and be able to establish their system.
03/21/2022: Killeen, TX
A compliance officer explains and defend their point of view.
02/09/2022: Madison, WI
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Associate jobs
Get Certifications and Continue Learning.
02/20/2022: Pascagoula, MS
Look for the Motivation of the Business.
03/31/2022: Spartanburg, SC
Proactively Work with Other Business Functions.
02/13/2022: Portsmouth, OH
Carefully Evaluate the Security and Compliance Posture of Business Associates.
03/02/2022: Elyria, OH
To execute the above tasks and to effectuate desired value, the compliance manager must possess a defined set of skills and expertise.
05/03/2022: Olympia, WA
Step 3: View the best colleges and universities for Compliance Associate.
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