• Serve as a resource to the line of business and enterprise functions for governance/compliance related matters and initiatives providing guidance to managers and compliance partners on implementation of effective controls including policies and procedures.
• Support the Compliance issues management process by ensuring timely and accurate updates, tracking and management reporting.
• Assist in preparation of Compliance related management reports.
• Assist in the review, development and administration of line of business procedures and internal Compliance procedures.
• Participate in the completion and analysis of annual Line of Business risk assessments.
• Develop and implement guidelines and procedures associated with assigned responsibilities.
• Author internal and external communications
• Identify opportunities to maximize profitability and/or improve processes
• Manage Change Control Process and support special assignments 
• Assist in management of SharePoint Team Room
• Assisting with maintenance of hedge and private real estate and private equity style funds.
• Work with functional teams to remediate identified issues
• Assist with Third Party Risk Management processes and Licensing processes

Skills: Compliance Guidance, Issue Management, Report Preparation, Procedure Development, Risk Assessment Analysis, Process Optimization, Change Management, Third Party Risk Management

• Develop and maintain plan to reach out to employees in order to gather information on current external information sharing practices
• Thoroughly document current practices and report progress and challenges daily to leadership
• Take action to correct current sharing habits and migrate employees to new approved processes
• In special circumstances for business reasons, take employees through sharing exception/approval process
• Work with Security leadership to ensure compliance from employees
• Coordinate with the IT team to generate monthly reports on internal sharing
• Perform a key role in implementing the firm's personal account trading policy, including reviewing brokerage statements, processing account opening paperwork and maintaining compliance records
• Review legal and compliance documentation
• Assist with some daily surveillance processes and ongoing control procedures
• Facilitating and project management for collection of data for various projects, including exchange memberships, account openings, audits, tax requirements and client due diligence requests
• Assist in the update of compliance documentation.
• Liaise effectively with senior management and external stakeholders (including Advisers).

Skills: Information Management, Process Documentation, Compliance Enforcement, Exception Handling, Report Generation, Policy Implementation, Legal Review, Stakeholder Communication

• Updated knowledge of applicable laws and regulations
• Ensures all required Compliance Training is completed within the required time period.
• Ensures all audits are conducted timely.
• Supports the Compliance team helping to manage policy release, life-cycle process, including processes related to policy development, timeline enforcement, updates, review and approval, training, distribution and acknowledgments. 
• Organize efficient and streamlined risk area reporting (e.g., disclosures, metrics, reviews).
• Regularly reviews and reports on trade partners' materials and data, corporate digital content and other corporate practices.
• Measures and monitors trade and internal performance and prepares reports, charts, graphs or other information relative to operational effectiveness.
• Assist in plan and design the compliance audit strategy and program
• Perform anti-bribery and anti-corruption (FCPA), privacy (GDPR, CCPA), and any other compliance audits
• Work with the key compliance stakeholders to identify and remediate emerging issues and non-compliant issues – update the audit strategy and program appropriately and timely
• First point of contact for compliance queries (including AML referrals).
• Identify and communicate system and procedure enhancements to management.

Skills: Regulatory Knowledge, Compliance Training, Audit Coordination, Policy Management, Risk Reporting, Performance Monitoring, Compliance Audit Design, Issue Remediation

• Co-ordination and documentation of all activity to maintain IT related compliance processes, including GDPR, IT Audit actions, Security audit questionnaires and license compliance
• Ensuring that the IT Policies are reviewed on an appropriate basis, and any required changes are appropriately documented and signed-off
• Responsible for processing all IT purchasing through Codemasters finance system, including interaction with suppliers
• Responsible for maintaining records of all IT supplier contracts and renewals and escalating necessary actions to the IT management team
• Contribution to the IT budget management process, ensuring that day-to-day spend is in-line with approved budget, and supporting future IT budget planning
• Management of IT’s Intranet presence and other communication channels which represent the face of IT to other Codemasters departments
• Assist in fraud detection and perform audits in high risk areas of fraud by performing data collection and analytics, identifying risks/outliers, documenting, auditing and communicating results
• Understand company’s compliance policies/procedures and applicable laws/regulations
• Assist in investigation of suspected or potential non-compliant activity
• Maintain the strict confidentiality of sensitive information
• Complete enhanced due diligence and monitoring processes, including risk assessments.
• Conducting activity reviews and identifying associated trends.

Skills: Compliance Documentation, Policy Review, IT Procurement, Contract Management, Budget Oversight, Internal Communications, Fraud Detection and Audit, Compliance Monitoring

• Maintain working knowledge of applicable laws and regulations affecting consumer loan servicing business.
• Maintain working knowledge of servicing policies, procedures, and processes, including applicable servicing platforms.
• Research and draft responses to consumer complaints received from government and regulatory agencies.
• Research account activity in connection with consumer defensive litigation and pre-suit demands.
• Identify and analyze patterns and trends with compliance risk, poor customer experience, and opportunities for procedure, process, and training development and enhancements.
• Effectively communicate with various internal and external stakeholders in the complaint process regarding fact sets, issue identification, issue resolution, and opportunities for operational improvement.
• Support and assist with other compliance related projects and initiatives
• Assist with AML onboarding and other tasks driven by AML/KYC rules and regulations
• Prepares responses to file audits and physical inspections.
• Involvement in strategic projects and initiatives
• Ownership of regular quality reviews across all areas of the business, including analysis, communication, resolution process and record retention.
• Conducting case reviews (AML, PEP, Fraud, Insider Dealing, etc.)

Skills: Regulatory Compliance, Policy Management, Complaint Resolution, Risk Analysis, Stakeholder Communication, AML/KYC Compliance, Quality Assurance, Case Review Management

• Interpreting the clients Investment Management Agreement ('IMA') and translating these guidelines into code through the use of compliance rules in the Aladdin platform
• Supports the changes made by amending the rule assignments to fall in line with the updated requirements that were requested by the client
• Crafting new system rules, improving existing compliance coding
• Troubleshooting potential errors and identification of coding issues
• Maintenance of Legal & Compliance Restricted Lists
• Participating in efficiency and improvement initiatives by providing ideas and suggestions on possible improvements to systems or processes
• Provide input to Global Tax related to the determination of GILTI Tested Income and tax for all applicable entities.
• Assist with quarterly income tax modeling and planning, including GILTI and FTC calculations.
• Work with local country Accounting and Tax as the primary interface for all income tax compliance issues related to the Federal Income Tax Return for all applicable entities.
• Accurately analyzing and timely tracing and follow-up on all tax reports that local country tax and accounting are required to complete.
• Ensures that all reporting and responses are turned in on time to all agencies
• Directs site staff in completion of corrective action

Skills: Compliance Coding, Rule Development, System Troubleshooting, Process Improvement, Tax Compliance Support, Regulatory Reporting, Error Resolution, Strategic Tax Planning

• Review, log, supervise, and report customer complaints as required by FINRA Rules 4513 and 4530 and the Firm’s policies and procedures
• Assist in the collection of documents and draft of responses for complaints forwarded to the firm by regulatory agencies
• Maintain current records of new and terminated associated persons in FINRA’s WebCRD system and ensure employees, Associated Persons, and Registered Representatives are properly fingerprinted per industry rules and firm policies and procedures
• Prepare and update regulatory documents, including U4/U5, prospectus, statement of additional information, Form BR, Form BD, and others 
• Perform Series 24 Principal Supervisory Reviews of Account Operations, Disputes, Check Review, Fraud, Customer Support, and Other areas
• Interact with Compliance team, legal team, and colleagues throughout the organization to help resolve potential compliance issues
• Ensure compliance with SEC, FINRA and other applicable rules and regulations
• Support the Chief Compliance Officer by maintaining regulatory compliance due diligence required by FINRA, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, other relevant regulations, and internal policy requirements
• Support the compliance department by attending meetings with key partners and maintaining required documentation for media compliance review
• Document, organize, and supervise outside business activities, outside brokerage accounts, private securities transactions, annual compliance questionnaires, and Firm and Regulatory Element CE.
• Responds to partner and syndicators information requests
• Completes special projects as needed and assigned by the Compliance Analyst Manager

Skills: Complaint Handling, Document Management, Regulatory Compliance, Supervisory Reviews, Cross-Department Coordination, SEC and FINRA Regulation Adherence, Due Diligence Support, Special Project Execution

• Lead Field Compliance Reviews and Qualification Reviews for APJ region according to existing documents and procedures
• Ensure all required compliance processes are tracked and adhered to in-region through regular and ad hoc reviews
• Hold business leadership accountable; escalate non-compliance risks and recommend actions to regional management and relevant global compliance teams 
• Partners with team members and/or stakeholders to identify solutions and address any compliance issues
• Collaborate and communicate cross-functionally across all levels of the organization and effectively balance commercial, operational and compliance needs.
• Effectively communicate with cross-functional teams to support process implementation, improvements and adherence to compliance guidelines in support of the business objectives.
• Develop and review standardized guidance documents and trainings for the APJ Service and Support groups and other functional teams on compliance related activities.
• Continuously educate and partner with the APJ Service and Support team on the “why” of Compliance, importance of QMS and facilitate implementation of best practices in alignment with global and regional QMS and Compliance
• Lead key compliance metrics monitoring across the region. 
• Prepare compliance and trending reports, communicate with recommended course of actions with the relevant business operations.
• Responds to 8823 findings and represents NRP during on-site audits
• Enters and verifies all annual Owner reports for accuracy into applicable State data bases

Skills: Compliance Review Leadership, Process Tracking, Stakeholder Management, Cross-Functional Collaboration, Compliance Communication, Training Development, Compliance Education, Reporting and Analytics

• Collaborates with regional and global teams to ensure documentation is created, submitted for global review and follows defined document control process; work towards developing tools and resources that improve process improvement to support regional compliance, Internal Audit requirements and maximize customer satisfaction.
• Actively participate, as the regional commercial representative in new and sustaining compliance related projects
• Together come up with recommendations to solve the concern.
• Advise and consult on project/quality plans, risk assessments and remediation plans
• Participate in investigations of quality system issues and related Corrective and Preventative Action 
• Help coordinate commercial participation in audits, especially in the absence of local QA
• Assist in detecting, trending, and analyzing global audit data and report on analysis, make recommendations, and drive programs to improve processes.
• Keep up to date with all related quality legislation and compliance issues.
• Communicate any compliance risks noted from these activities to management.
• Maintain copies of all tax returns and receipts supporting the amount of income taxes being claimed for each legal entity.
• Completes occupancy and income reporting required by all State, local, and partnering agencies
• Enters property data into State, local and partnering agencies data bases weekly, monthly and annually 

Skills: Documentation Management, Compliance Project Engagement, Quality Consulting, Audit Coordination, Data Analysis, Regulatory Compliance, Risk Communication, Reporting and Database Management

• Implementing and managing policies and procedures for DOT Compliance.            
• Reviewing the current documentation for DOT compliance, determining what additional policies 
• Making updates to existing policies, writing additional policies, and publishing those policies.            
• Key policies include Driver Qualification, ELD Policy, Hazardous Materials, Hours of Service, and Vehicle Inspection.
• Ensuring corrective actions from audits are completed, including reviewing audit reports, meeting regularly with the auditor and the station managing directors, reviewing evidence of implementation, and documenting changes.
• Reviewing and assigning DOT training.            
• Reviewing the training content, evaluating for compliance with regulatory requirements for training, ensuring the training is relevant for SEKO’s operations.
• Determining the appropriate personnel to receive training, and ensuring the training is completed.
• Monitoring regulatory changes and the potential impact to SEKO, including attending external training, monitoring news and government websites for updates to DOT regulations.
• Evaluating how any changes would apply to SEKO’s operations.
• Work with the DOT Compliance consultant, which performs on-site internal audits, weekly or more frequent, DOT/FMCSA, annual or as needed for registrations and audits and with Managing Directors and supervisors at the stations, monthly or more frequent to review action items, HR for any driver-specific or drug testing question.
• Tracks and schedules internal and external deadlines for both file audits and physical inspections, for all properties
• Works with property office teams to obtain necessary documentation for corrective actions uncovered by auditors

Skills: Policy Management, Compliance Auditing, Training Coordination, Regulatory Monitoring, Change Implementation, Internal Consulting, Deadline Management, Documentation Control

• Implement compliance ongoing controls (sampling cases, handling daily reports, investigate unusual users activity, monitoring third parties activity etc.)
• Collecting, analysing, and synthesising data to achieve department’s objectives.
• Assist the company’s compliance officer with review of accounts in support of the company’s AML program
• Assist with internal and external audits and risk assessments
• Interact on a day-to-day basis with the Company departments (Customer experience, growth, operations, finance, sales etc.) to ensure the implementation of compliance controls in the company and independently escalating & resolving compliance issues as arise.
• Assist in building controls and procedures for new markets and new products with the company Compliance officer.
• Analyse customers data and case learnings to continuously improve the effectiveness of compliance and risk management programs.
• Prepare accurate and complete foreign entity tax returns (Forms 5471 and 8858), including all new schedules under recent tax reform.
• Interact with Compliance team, legal team, and colleagues throughout the organization to help resolve potential compliance issues
• Assist with the 3120, 38(a)-1, 206(4)-7 annual review processes
• Conduct continuous analysis of shipment data and coordinate with internal and external stakeholders to resolve issues and enhance future data
• Collaborate with team members to ensure and acquire any additional documentation required by federal agencies is obtained prior to shipment

Skills: Compliance Monitoring, Data Analysis, AML Support, Audit Coordination, Cross-Department Collaboration, Control Development, Tax Compliance, Regulatory Documentation

• Review of Enhanced Due Diligence cases/potential sanctions hits
• Respond to and/or escalate AML/CFT & Sanctions queries from the business
• Prepare FCC information & documentation required by other institutions e.g. Wolfsberg Questionnaires
• Conduct 2nd Line Quality Assurance (QA).
• Assist in the documentation of documenting procedures for the processes / activities managed within the FCC team
• Assist in the on-going development of the AML/CFT, Sanction & ABC Policies
• Assist the business with implementation & embedding of procedures that give effect to the Banks Financial Crime procedures
• Support the ongoing review of FCC governance documentation owned by Compliance
• Determine whether there have been any changes to a prior year local income tax liability of an assigned legal entity as a result of an audit, filing of a final income tax return or for any other reason and work with CHQ Tax to properly account for such change.
• Work with internal colleagues for missing or incorrect Product Specification Documentation
• Coordinate with internal parties to ensure correct processes are followed within allotted timeframes

Skills: Due Diligence Review, AML/CFT Compliance, Documentation Preparation, Quality Assurance, Policy Development, Procedure Implementation, Governance Review, Internal Coordination

• Fundamental understanding of organization’s operations, and able to assist in establishing and updating processes to enhance compliance control.
• Assist process changes including gap analysis, recommending solutions, execution and enhancements.
• Work with cross functional teams to launch communications and trainings, plan schedules and anticipate challenges.
• Document and conduct self-assessment on control processes, conduct analysis to identify process gaps, and convert findings to improvement plans.
• Work closely with Finance/Legal and cross functions to build control plans for compliance issues identified
• Work with WW GCE, BP team and compliance team on the annual risk assessment and help to implement the related risk mitigation plan (RMP)
• Work with auditor on each Management Action Plan (MAP) and follow up with owner to ensure timely closure of the MAP
• Perform general clerical duties including but not limited to photocopying, scheduling, scanning, faxing, mailing and filing
• Manage trade-related records
• Coordinate with legal and compliance functions to ensure proper implementation of data privacy legislation and disclosure.
• Support the FTZ Manager for data checks and balances, including corrections and amendments 
• Support the Head of  Customs Compliance on ad hoc tasks and projects
• Evaluate records and analyze data using excel tools to identify requirements and discrepancies

Skills: Process Optimization, Gap Analysis, Cross-Functional Collaboration, Compliance Monitoring, Risk Management, Audit Coordination, Data Privacy Compliance, Records Management

• Support the Director of Global Trade Compliance in the growth and development of II-VI’s global trade compliance program at II-VI Finisar and at other locations
• Assist with the development and updating of trade-related policies, procedures, guidelines, classification matrices, Intellectual Property and Technology Control Plans (ITCPs), and work instructions
• Work with export compliance Points-of-Contact around the Company to embed standards and procedures that ensure effective execution of compliance policies
• Conduct export and import compliance training / review sessions to II-VI Finisar employees globally. 
• Communicate with all relevant stakeholders, regarding new and updated policies
• Review Trade Compliance audit results and support internal compliance review, monitoring, and corrective action implementation.
• Support and maintain Finisar’s C-TPAT membership
• Support the Director of Trade Compliance and II-VI attorneys with conducting internal trade compliance investigations and preparing voluntary self-disclosures, and implementing corrective actions
• Manage a diverse workload of export and import-related projects and tasks and adapt to shifting priorities on a day-to-day basis
• Support daily export and import compliance operations by identifying Business Unit needs and swiftly providing solutions to trade-related issues
• Attend regular meetings with counterparts to review shared interests
• Maintain proper records of reporting

Skills: Policy Development, Compliance Training, Stakeholder Communication, Audit Support, C-TPAT Management, Investigation Support, Project Management, Record Keeping

• Support all II-VI Finisar with preparing and submitting license applications
• Determine export and import classifications
• Provide guidance as needed regarding FDA and FCC certifications for imported materials
• Manage trade-related certification process
• Collaborate with management to make sure that leadership is aware of compliance requirements and issues
• Manage relationship with third-parties, including customs brokers
• Communicate with applicable government agencies
• Stay on top of changes in import and export laws or regulations by reading current literature and attending meetings/conferences
• Utilize the ACE Portal account to review and monitor a variety of details relative to II-VI import and export activity across the organization
• Develop and maintain 301, Protest and ACE work instructions and procedures
• Provide reporting from ACE relative to export shipments, duty amounts, special import procedures, and other cases that may arise
• Develop and enhance existing processes to drive better data and strengthen compliance

Skills: Licensing Management, Classification Determination, Regulatory Guidance, Compliance Leadership, Stakeholder Engagement, Government Liaison, Industry Monitoring, Process Improvement

• Assist with Post Entry processing and corrective actions that may be needed (CBP Form 28 responses, Post Summary Corrections, Penalty Notices, Prior Disclosures, Protests, Section 301 duty management, etc.)
• Provide support to improve supply chain and logistics operations relative to import/export operational compliance
• Assist in tracking and managing supplier certifications
• Develop and maintain key performance initiatives and guidelines for Customs brokers
• Work with II-VI Logistics and approved Customs Brokers to meet or exceed the developed Key Performance Indicators in cooperation with the relevant business units
• Provide assistance in identifying, tracking, and monitoring import “assists”
• Help to identify opportunities for improvement
• Provide trade compliance support on high-priority and special projects across the company, including mergers and acquisitions
• Assist with preparing training and other types of trade-related materials and communications
• Create and modify import and export compliance related documents using Microsoft office products
• Assist with updates to policies and procedures
• Assist with periodic reviews of the Firm’s business

Skills: Compliance Management, Supply Chain Optimization, Supplier Coordination, Performance Monitoring, Trade Compliance, Project Support, Documentation Skills, Policy Development

• Conduct third party vendor risk assessments, make recommendations and perform periodic reviews.
• Maintain an up-to-date understanding of emerging trends in information security risks, and new techniques and trends, in-line with overall information security objectives and risk tolerance.
• Coordinate the development of best practice policies and standards based on various governance frameworks and ensure that all policies and standards are regularly reviewed and updated to be in line with regulatory and control requirements.
• Develop and manage an information security risk register aligned with NIST CSF to address risk issues and action plans from all sources, e.g., IT audit, technology risk assessments, vulnerability scans, penetration testing, etc.
• Identify, analyze, respond to and monitor IT risk, and ensure that risk factors and events are addressed in a cost-effective manner and in line with business objectives.
• Design and implement a Cyber and IT controls assessment and assurance process to ensure controls function effectively and efficiently.
• Design and implement an effective exception process to facilitate and manage requests for non-compliance with policies and standards.
• Develop and implement relevant cyber and IT risk metrics and reporting to management and risk committees.
• Assist with the implementation of a GRC software platform for policy administration, compliance and risk management.
• Coordinate information security internal audit, external audit, regulatory and SOX reviews from an information security and technology risk perspective.
• Provide responses to partner security related questionnaires.
• Maintain global personnel registrations and inform personnel of upcoming deadlines and requirements
• Assist with onboarding paperwork, recordkeeping, and departure processes

Skills: Vendor Risk Assessment, Information Security Trends, Policy Development, Risk Management, IT Risk Analysis, Cybersecurity Assurance, Compliance Management, Audit Coordination

• Managing the Intellectual Property protection function for the organization to include domestic and international trademarks, copyrights, licenses, and related IP rights
• Providing guidance to internal customers regarding technical aspects required to process applications and other IP related documentation
• Conducting, initiating, and interpreting trademark searches and data 
• Preparing preliminary clearance opinions and analyzing results relating to infringement, validity, and competitiveness.
• Providing support for pending trademark litigation, opposition and cancellation proceedings and infringement matters, including gathering and maintaining evidence of use, reputation, and other documentation
• Overseeing IP, promotional program, label compliance, international distribution and associated recordkeeping including updating databases and maintaining files
• Coordinating instructions between internal customers and outside counsel regarding the preparation, filing, and prosecution of trademark applications and obtaining appropriate approvals
• Collaborating with attorneys on reviewing contracts and providing guidance to internal customers pertaining to IP and promotional program aspects and maintaining related documentation
• Reviewing correspondence from outside counsel and internal customers regarding IP. 
• Identifying issues and developing resolution to a variety of problems and complexity
• Researching, gathering, and compiling information pertaining to laws and regulations
• Understand market changes that may impact fees and collaborate with depart ments to ensure timely updates

Skills: Intellectual Property Management, Technical Guidance, Trademark Analysis, Litigation Support, Compliance Oversight, Coordination with Legal Counsel, Contract Review, Regulatory Research

• Managing licensing and registration related matters
• Evaluating compliance with relevant regulations, identifying issues and assessing the impact of regulatory change
• Oversight of compliance with APRA Prudential Standards and associated control framework
• Assisting with the preparation of regulatory submissions, inspection decks and notifications
• Co-ordinating the development and review of Compliance policies and procedures in light of regulatory developments
• Co-ordinating the Compliance Monitoring Plan, and performing compliance testing of controls to ensure effectiveness
• Production of governance committee decks and board reports
• Participation in Compliance initiatives and projects to strengthen the Compliance Program
• Contributing to process and working efficiencies, including the use of data analytical tools.
• Work with department senior management on special projects
• Evaluate over tolerance trends to determine action plans to improve fee accuracy and/or improve loan processes to identify valid increases timely
• Evaluate opportunities to reduc e over tolerance charges by improving fee accuracy

Skills: Regulatory Compliance, Policy Development, Compliance Testing, Reporting and Documentation, Project Coordination, Data Analysis, Process Improvement, Strategic Planning

• Design and run induction training sessions for all new joiners to Vodafone Group.
• Design, improve and run the compliance comms programme globally – including measurement.
• Drive use of compliance dashboarding tools – including continuous improvement.
• Drive compliance community engagement including the annual Global. 
• Build the competency to act as a subject matter expert for GRC tool (Riskonnect) including running improvement projects.
• Work with markets to monitor and close out Compliance remedial actions.
• Take ownership of ad-hoc compliance queries from the business, suppliers and customers escalating where needed.
• Support the team with projects including: Compliance e-learning, culture measurement, ESG and control testing.
• Assist compliance officers in various tasks
• Maintain electronic files and databases and upload information 
• Consistently work to improve processes
• Collaborate with internal departments and vendors to implement strategies to imp rove accuracy of fees at initial disclosure
• Assist with preparation and delivery of periodic training, including onboarding and annual trainings

Skills: Training Design, Compliance Management, Tool Utilization, Community Engagement, Subject Matter Expertise, Remedial Action Management, Process Improvement, Cross-Functional Collaboration

• Knowledgeable about research and evaluation of competitive platforms and markets
• Ability to investigate policy/fraud activities and deliver data insights
• Extensive, demonstrable quantitative experience
• High attention to detail, organization, team-orientation, and able to work under tight schedule
• Excellent verbal, visual, and written communication skills in English and Mandarin
• Mastery of Keynote and Excel/Numbers
• Inquisitive with an ability to navigate ambiguity as it pertains to policy and regulations
• Can integrate new information and make decisions based on multiple factors and options available
• Takes initiative, is self-directed, solutions oriented and is keen to share knowledge with others

Qualifications: BA in Business Administration with 3 years of Experience.

• Demonstrated ability to work in a team environment
• Strong customer service skills
• Effective written and verbal communications
• The ability to manage competing priorities and meet multiple goals, plans and milestones
• Demonstrated understanding and working knowledge of corporate compliance and related regulations
• Ability to maintain a flexible work schedule (e.g., able to meet the requirements of the position as needed, including ability to work evenings and weekends, with or without advanced notice)
• Must meet all ITAR requirements and have the legal ability to possess firearms and ammunition
• Proficiency with Microsoft Office applications, and database skills
• Must have strong command of the English language, in both oral and written communications
• Professional work experience in a compliance-related field (category I) strongly 

Qualifications: BA in Finance with 5 years of Experience.

• Sustainable knowledge of compliance requirements associated with SOX (ITGCs & ITACs), Cybersecurity and PCI
• Extensive knowledge of general information security best practices and standards such as ISO 27000, COBIT 5, NIST SP 800 series, NIST CSF
• Solid knowledge/experience in Software development life cycle, DevOps, networks, databases, operating systems, application controls and IT operations
• General understanding of internal audit methodologies and processes
• Ability to create and maintain IT policies & procedures, management and executive level reports on effectiveness of IT governance controls and exceptions
• Excellent interpersonal and presentation skills
• Ability to perform assigned tasks and responsibilities with moderate supervision, which includes planning, executing and reporting on required compliance tasks within assigned timelines
• IT experience covering Internal or External IT audit, Risk Management, vulnerability management, data security, regulatory compliance, vendor management, incident response
• Certifications: CISA, CISM or CISSP

Qualifications: BA in Legal Studies with 6 years of Experience.

• High level of professionalism, analytical, detail-oriented, proactive, organized, responsible, self-driven and highly motivated with a 'can do' attitude.
• Excel - high level
• Thrives in a fast-paced environment while maintaining composure and being able to make sound decisions under pressure.
• Fluency in English with excellent verbal and written communication skills
• Ability to independently lead Compliance efforts and projects.
• Previous experience with AML regulation and or Risk management projects
• Financial services background or experience in a financial services company
• Experience in Compliance
• Knowledge of Compliance and FinCrime regulations in Brazil
• Excellent communication skills (verbal/written) in both English and Portuguese
• Evidence of knowledge on key areas of Compliance and AML/CTF such as: Conduct & training, Anti-bribery and corruption, Screening & sanctions, Anti-money laundering and terrorist financing
• Flexibility to adjust hours and work the hours necessary to meet operating and business needs

Qualifications: BA in Risk Management with 4 years of Experience.

• Knowledge of relevant firm computer software programs (e.g., Outlook, Excel, PowerPoint), with the ability to learn new software and operating systems
• Knowledge of Aderant with respect to client matter intake process and billing-function
• Ability to perform internet research using various search functions
• Demonstrates effective interpersonal and communication skills, both verbally and in writing
• Demonstrates close attention to detail
• Ability to read interpret and follow instructions
• Ability to meet deadlines
• Ability to handle multiple projects and shifting priorities
• Ability to handle sensitive matters and maintain confidentiality
• Ability to organize and prioritize work
• Ability to work well in a demanding and fast-paced environment
• Ability to work well independently as well as effectively within a team

Qualifications: BA in Economics with 6 years of Experience.

• Strong attention to detail and analytical skills and the ability to provide sound recommendations
• Knowledgeable with BlackRock’s various Aladdin applications, trade flow process, and data environment
• Strong research and analytical skills, business acumen, strategic and creative thinking, project leadership skills and multi-tasking capabilities
• Exhibits strong Bias for Action, ability to meet tight deadlines, prioritize workloads in a fast paced environment
• Excellent communication skills, both written and verbal
• Self-driver with the ability to work on a team
• Strong collaboration skills and ability to influence team
• Proven successful program and project management skills.
• Proven experience as an auditor
• In-depth understanding of auditing and control practices

Qualifications: BA in Accounting with 3 years of Experience.

• Understanding of the Thailand regulatory requirements for retail consumer financial services or credit card business.
• Understanding of compliance testing and monitoring. 
• Experience in Big Four audit firms preferred, as well as professional internal audit certifications.
• Understanding of credit card and/or retail consumer banking and payment services business models at global financial institutions, with complex system & technology infrastructure and a matrix organizational structure.
• Strong understanding of internal controls. Hands-on experience or professional certifications in internal controls. 
• Ability to identify control defects and develop remediation by reviewing & evaluating existing business processes.
• Excellent communication and presentation skills, verbal and writing, to be able to effectively develop regulatory policies & procedures and discuss with key stakeholders the pertinent regulatory requirements.
• Experience in working effectively in a globally complex matrix organization across diverse business groups and product lines.
• Working knowledge of laws and/or regulations in area of compliance, in particular HIPAA, and state regulations.
• Experience in compliance, privacy and/or regulatory affairs. 

Qualifications: BA in Public Administration with 5 years of Experience.

• Previous experience in compliance and/or regulatory analysis developed in Financial Services, Accounting, or Legal professions.
• Experience interacting with employees at various levels of an organization.
• Highly developed interpersonal skills to build and maintain effective internal and external relationships.
• Strong communication skills (verbal and written).
• Strong analytical and investigative skills and sound judgment.
• Experience with Control Room functions, including preclearance of employee trades and management and use of restricted lists.
• Experience in development, implementation and monitoring adherence to corporate policies, procedures and other guidance documents.
• Understanding of and/or professional experience with a credit rating business.
• Strong knowledge of Excel and data mining
• Strong organizational skills.

Qualifications: BA in Political Science with 4 years of Experience.

• Candidates with Spreadsheet and ERP system experience 
• Microsoft Excel experience desired
• Foundational knowledge in analysis
• Strong familiarity with Compliance Risk
• Able to build and deliver effective presentations to audiences with wide-ranging backgrounds
• Excellent written, verbal and social communication skills highly desired
• Excellent problem-solving skills
• Skills in problem solving through statistical analysis or with large data sets highly desired (such as in derivatives, structured finance, or business analytics or in a similarly demanding and analytical role)
• Business Intelligence (BI) reporting tools experience 
• Great teammate with the ability to work in a dynamic, cross-functional environment, across multiple locations and time zones.

Qualifications: BA in Corporate Governance with 5 years of Experience.

• Good knowledge of insurance principles practices and procedures.
• Good understanding of process development and process improvement techniques and methodologies.
• Good understanding of project management practices and procedures.
• Strong communication and presentation skills with the ability to effectively interact with all levels of internal and external business partners.
• Good analytical and problem solving skills.
• Ability to recognize standard situations and issues. 
• Creativity in resolving routine and standard business problems.
• Knowledge of Microsoft Office Suite and other business related software systems.
• Comfortable working within established service level agreements.
• Works effectively and independently, while being a phenomenal teammate.

Qualifications: BA in Information Systems with 3 years of Experience.

• Customer Service related experience.
• Good understanding of Third Party Compliance Oversight.
• Requires due diligence, investigation, compliance or internal audit background experience.
• Knowledge of the foundational elements of a compliance program in banking / financial services.
• Knowledge of Laws and Regulations such as FCRA, GLBA, and UDAAP
• Good knowledge of systems capabilities, software platforms and processes.
• Good knowledge of database management concepts and principles.
• Knowledge of PC office software and segmentation tools.
• Excellent English, both oral and written communication skills.
• Good analytical and problem solving skills. Excel Intermediate

Qualifications: BA in Business Administration with 4 years of Experience.

• Professional level knowledge of securities and banking regulation.
• Knowledge of trading and business terminology.
• Surveillance/compliance experience within a financial services/securities environment.
• Strong organizational skills - ability to multitask and prioritise based on potential impact
• Capacity to analyze issues, synthesise findings and communicate them in an effective manner
• Excellent interpersonal skills - ability to liaise in a professional manner with all levels of staff / management
• Proven ability to work autonomously
• Communication - Communicates clearly, both verbally and in writing.
• Knowledge of languages: English, French
• Demonstrate personal initiatives, ownership and accountability

 Qualifications: BA in Finance with 3 years of Experience.

• Experienced with audits / asset reconciliation / customer engagement and Negotiation
• Experienced in data analysis and program management
• Strong written and verbal communication
• Proficient in data mining, analytics and reporting
• Proficient in use of Excel
• Ability to interface well with other departments
• Experience with databases or record repository applications including SFDC
• Proficient in language English
• Excellent digital literacy, including a knowledge of Microsoft Office applications.
• Strong research and analytical skills, with an attention to detail.

Qualifications: BA in Legal Studies with 5 years of Experience.

• Experience in either treasury or internal audit.
• Experience in some or all of the following areas: interest rate risk management, front to back reviews, data management.
• FRM or CFA certifications 
• Strong communication skills both verbal and written.
• Proficient in MS Office suite of products.
• Strong analytical skills, including data analysis (SQL knowledge very desirable)
• AML/KYC experience or fraud/compliance experience.
• Strong Focus on Meeting Deadlines
• Project Management - previous experience in being part of large and/or diverse projects
• Experience in carrying out financial crime investigations
• Experience in communicating with stakeholders across multiple business units

Qualifications: BA in Risk Management with 6 years of Experience.

• Compliance or legal experience working with regulated or unregulated investment funds, SEC registered investment advisers, and/or CFTC registered Commodity Pool Operators
• Good knowledge of the Investment Advisers Act, Commodities Exchange Act and related rules and regulations
• Experience drafting compliance policies and procedures, conducting compliance risk assessments and managing SEC and/or CFTC compliance programs
• Global mindset and ability to support cross-border fund platforms
• Basic knowledge of anti-money laundering rules and regulations preferable
• Familiarity with bank sponsored collective investment funds
• Highly organized, with a demonstrated proficiency to manage, prioritize and complete multiple projects simultaneously
• Ability to partner effectively with others, to develop relationships across geographies and across the organization, and to motivate others to action amongst competing priorities
• Effective interpersonal and communication skills and strong written and verbal skills
• Strong attention to detail, good business judgment and strong analytical and problem solving skills

Qualifications: BA in Economics with 6 years of Experience.

• Proficient in Xcel (VLOOKUP, Pivot tables) and basic Xcel formulas and conditional formatting, and Report formatting
• Data validation Skills
• Excellent written and verbal communication skills, including the ability to prepare and conduct presentations
• Excellent analytical and problem- solving skills
• Proficient with Microsoft Word and Outlook
• Proficiency in written and spoken Italian and English (mandatory). 
• Knowledge of relevant legal frameworks (Luxembourg and EU), particularly in respect of AML/KYC, E-Money, PSD2 and SEPA
• Ability to provide intellectual rigor to risk assessment, development of business solutions and decision making
• Interest in Fintech and desire to work within a dynamic, innovative and constantly evolving environment
• Strong fit with the firm's cultural tenets of inclusivity, collaboration, accountability, and collegiality
• Proficient understanding of financial markets, asset classes, security attributes, and fund operations

Qualifications: BA in Accounting with 3 years of Experience.

• Experience in an ethics, law or compliance related role
• Experience building and sorting through complex data sets
• Experience working in a cross functional environment
• Experience performing risk assessments and risk management
• Experience working with risk and compliance criteria and prevention strategies
• Experience working under minimal direction to map out and execute work plans to solve complex and diverse problems
• Strong interpersonal, communication, and presentation skills, including experience interviewing and assessing credibility of sources
• Powerpoint / Excel skills - very proficient in use of such tools
• Experience in the AML, Risk & Compliance division of a financial institution
• Good organization and project management skills

Qualifications: BA in Public Administration with 5 years of Experience.

• Work experience in finance or insurance operations 
• Good verbal and written English communication skills
• Must be meeting all the service quality and productivity metrics for the last six months (e.g., Call Quality, IAT QA, Adherence, Attendance, etc.)
• Good written skills and good verbal communication skills.
• Basic Knowledge using Microsoft Office Tools (Word, Excel and PowerPoint)
• Accuracy and keen attention to details
• Ability to apply sound judgment with strong decision-making skills.
• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail.
• Experience working as an investment adviser to private funds (private equity, private credit or private real estate investment adviser a plus)
• Excellent writing skills
• SQL Skills and QlikSense/Tableau or other data visualization tool

Qualifications: BA in Political Science with 4 years of Experience.

• Private Equity background and CAMS certified
• Must be familiar with, and able to review, Private Equity subscription documents.
• Must be familiar with, and able to dissect, AML documentation and formation documents, Trust Agreements, LP /LLC Agreements, Certificate of Formations, Article of Associations, tax documents, identifying documents, etc.
• Familiarity with WorldCheck and TINCheck (optional)
• Strong ability to gather, track and centralized information/documents.
• Excellent data entry and reconciliations of systems and ongoing maintenance.
• Microsoft applications proficient. Strong EXCEL skills (formulas, pivot tables, VLOOKUPs).
• Excellent verbal, written and interpersonal communication skills. Must be extremely detail oriented and highly organized.
• Efficient time management skills and the ability to maintain control over information and documents to meet client, firm and reporting deadlines
• Experience in Financial Services, with some familiarity with key regulations (e.g. EFTA, Regulation Z, BSA/AML)

Qualifications: BA in Corporate Governance with 3 years of Experience.

• Compliance experience preferably in alcohol compliance
• Must have strong experience in Microsoft office products, specifically Excel, Word and Outlook.
• Customer Focus – first hand customer knowledge for improvements in products, services, and processes and gaining the trust and respect of the customer.
• Some experience with filing license renewals according to internal deadlines
• Knowledge of filing of new license applications and renewals and managing product labels registrations and document inventory through eCompli system
• Able to manage a wide variety of confidential information in a professional manner and have the ability to manage fluctuating priorities and workload.
• Strong knowledge and related experience with FCPA and other compliance audit and/or forensic accounting
• Strong experience with data analytics and related skills that enable effective risk and issue detection, assessment and resolution
• Proficient in MS office products and Outlook. Advanced Excel and data analytical skills
• Excellent verbal and written communication and organizational skills

Qualifications: BA in Information Systems with 3 years of Experience.