Job Summary: 

• Use routine audits to identify potential compliance risks
• Help implement policies, systems, or controls to reduce risk
• Educate employees about regulatory and legal requirements
• Stay up to date with regulatory changes. Monitor business processes
• Review advertising, sales and promotional materials, as well as other written and electronic communications distributed by Communication and Marketing departments
• Support and maintain a web-based compliance training program for employees.
• Coordinate with Global Compliance to build out the compliance communication plan and execute to plan to increase the awareness of compliance and compliance issues across the company
• Support co-workers across other operational teams, provide backup coverage, assistance and guidance
• Perform vesting and calculations
• Assist with RMDs, Force Outs and other routine compliance projects

Skills on Resume: 

• Audit Execution (Hard Skills)
• Risk Management Implementation (Hard Skills)
• Regulatory Education (Hard Skills)
• Regulatory Monitoring (Hard Skills)
• Material Review (Hard Skills)
• Compliance Training Support (Hard Skills)
• Communication Planning (Hard Skills)
• Team Support and Guidance (Soft Skills)

Job Summary: 

• Activities in support of the firm’s compliance program, including
• Maintaining and updating compliance training materials and records;
• Preparing and maintaining documentation related to gifts, political contributions, and personal investments reporting; and
• Assisting with updates to policies and procedures.
• Activities in support of the firm’s global regulatory filings, including gathering and preparing data and reviewing filings.
• Tracking compliance-related precedent.
• Interacting with the firm’s investment professionals, lawyers, bankers, accountants and other professionals.
• Maintaining and improving internal records, checklists, spreadsheets, and other tracking devices.
• Participating in and assisting in the management of due diligence projects.
• Work with other members of the compliance and participant advisory teams to assist clients with processing participant requests for loans and distributions from 401(k) plans
• Be the subject matter expert and partner with Software development team to help build tools to automate plan administration and compliance

Skills on Resume: 

• Compliance Training Maintenance (Hard Skills)
• Documentation Preparation (Hard Skills)
• Policy Updating (Hard Skills)
• Regulatory Filings Preparation (Hard Skills)
• Professional Interaction (Soft Skills)
• Data Management (Hard Skills)
• Due Diligence Support (Hard Skills)
• Software Development Collaboration (Hard Skills)

Job Summary: 

• Engage in the compliance review and approval of customer account applications as part of the customer onboarding process.
• Review corporate structures for individuals with ownership and control of the customer entity.
• Communicate inconsistencies between the application and supporting documentation to front office personnel.
• Participate in the completion of the annual compliance audit by the firm’s designated self-regulatory organization.
• Collaborate with other departments (e.g., Risk Management, Internal Audit, Back Office, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
• Assists in consultations with Corporate Counsel as needed to resolve legal compliance issues.
• Maintains prompt and regular attendance.
• Perform onboarding tasks, including review of customer provided documentation, review of identity verification alerts, customer outreach, and rigorous tracking of tasks performed
• Process alerts generated by the monitoring systems, including the identification of unusual/suspicious activity and analyzing account activity
• Monitor, assess, and document flow of funds for large and complex customer relationships
• Conduct periodic account/customer reviews to detect potentially suspicious activity while documenting steps taken through investigation process
• Effectively communicate investigations, decisions, timelines, and potential reputational and/or regulatory risk to Compliance Senior Management

Skills on Resume: 

• Account Application Review (Hard Skills)
• Corporate Structure Analysis (Hard Skills)
• Audit Participation (Hard Skills)
• Cross-Department Collaboration (Soft Skills)
• Legal Consultation Assistance (Hard Skills)
• Onboarding Procedures (Hard Skills)
• Suspicious Activity Monitoring (Hard Skills)
• Risk Communication (Soft Skills)

Job Summary: 

• Analyze marketing materials and other forms of communication with the public and provide approval or instructions to change the material in order to provide approval
• Demonstrate an understanding of regulatory requirements of a broker dealer
• Assist firm with projects and issues by providing rules based knowledge and guidance
• Assist with education of employees on compliance procedures and answer questions regarding policies
• Assist firm in further developing 2210 best practices
• Improve upon and streamline current procedures within the firm and WSPs as related to communications
• Coordinate and arrange travel. Handle incoming mail
• Assist with necessary preparation of filings related to non-US investments and local FIIs, if applicable
• Administer the compliance procedures of the firm and its SEC-registered Funds.
• Prepare reports for the Funds’ quarterly board meetings and for the Firm’s annual compliance review.
• Review and update the Firm’s and Funds’ disclosure documents.

Skills on Resume:

• Material Analysis (Hard Skills)
• Regulatory Knowledge (Hard Skills)
• Compliance Support (Hard Skills)
• Procedure Optimization (Hard Skills)
• Administrative Tasks (Hard Skills)
• Filing Preparation (Hard Skills)
• Compliance Management (Hard Skills)
• Documentation Review (Hard Skills)

Job Summary: 

• Monitor and test the design and effectiveness of policies and procedures in accordance with regulatory and internal obligations.
• Assist with the review and enhancement of Compliance policies and procedures
• Making recommendations for changes based on knowledge of regulatory environment and best practices
• Track the remediation of compliance issues and test findings to ensure timely escalation and resolution, including assurance that the quality of remediation is sufficient
• Assist with requests from the organization’s various regulators, including FED, FINRA, SEC, NFA, CFTC. 
• Work independently and exercise discretion and judgement on the information shared with regulator(s).
• Assist with supporting the firm’s AML policies and procedures
• Help with gathering information, as required by the COO or DCCO, on items related to counterparty and service provider services and ongoing reviews
• Assisting with the fielding and logging of customer complaints
• Fact-finding, upon the direction of the CCO or DCCO, on new compliance-themed industry requirements and risk alerts

Skills on Resume:

• Policy Testing and Monitoring (Hard Skills)
• Compliance Policy Enhancement (Hard Skills)
• Regulatory Remediation Tracking (Hard Skills)
• Regulator Liaison Support (Hard Skills)
• AML Policy Support (Hard Skills)
• Information Gathering (Hard Skills)
• Independent Judgment (Soft Skills)
• Fact-Finding and Research (Hard Skills)

Job Summary: 

• Assist and facilitate 2LoD KCT execution and monitoring with all stakeholders. 
• Participating in preliminary planning, reviewing the results of 1LoD testing and advising whether testing is adequate or insufficient, and aligning with outsourced 1LoD and 2LoD test activities. 
• Provide recommendations on further actions, if necessary, and maintain iRisk data platform to ensure accurate reporting and escalation in alignment with ING Compliance and Non-Financial Risk policies.
• Oversee databases and information hubs. 
• Gathering data inputs, updating and making entries, extracting data, analyzing large data sets, ensuring data quality, and Management Initiated Action (MIA) validation and oversight as it relates to iRisk, SNOW and other relevant data reporting tools and functions. 
• Exercise discretion and judgement in the handling and reporting of data.
• Support the production of and participate in the annual QA Monitoring/Testing; devise a risk-based plan and make recommendations as to what to include in the risk assessment. 
• Perform QA Monitoring/Testing alongside other QA team members as time permits.
• Participate in the design of monitoring and testing scripts for the QA function.
• Support Head Office reporting obligations and prioritize requests for timely delivery

Skills on Resume: 

• Risk Assessment Advising (Hard Skills)
• Data Management and Analysis (Hard Skills)
• Compliance Testing Coordination (Hard Skills)
• Quality Assurance Monitoring (Hard Skills)
• Script Design for Monitoring (Hard Skills)
• Strategic Planning (Soft Skills)
• Judgement and Decision Making (Soft Skills)
• Report Generation and Prioritization (Hard Skills)

Job Summary: 

• Support lending partners’ regularly scheduled QA and compliance audits
• Coordinate with PBU Sales team to respond to diligence requests received from lending partners
• Configure and maintain servicing policies for lending partners
• Compile documentation and information requested from auditors and other 3rd parties
• Provide oversight and analysis of complaints
• Compile monthly complaints reporting
• Perform end to end compliance platform testing
• Coordinate monthly, quarterly and annual compliance reporting for lending partners
• Meet with existing lending partners regularly to discuss programs and keep them informed of changes
• Present the UNI compliance program to potential lending partners
• Assist with third party compliance audits and associated remediation projects

Skills on Resume:

• Compliance Audit Support (Hard Skills)
• Sales Team Coordination (Hard Skills)
• Policy Configuration (Hard Skills)
• Documentation Compilation (Hard Skills)
• Complaint Analysis (Hard Skills)
• Compliance Reporting (Hard Skills)
• Compliance Platform Testing (Hard Skills)
• Stakeholder Communication (Soft Skills)

Job Summary: 

• Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
• Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
• Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists
• Preparation and filing of required regulatory filings, and international clients
• Review of client and account documentation for anti-money laundering compliance
• Review, assess, devise, and conduct training of clients’ employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation
• Design and monitor testing systems to insure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure
• Conduct compliance reviews, testing, and monitoring of compliance policies and procedures
• Update weekly email counts and perform electronic message review
• Assist with administration of the firm’s personal trading policy

Skills on Resume:

• Regulatory Compliance Advising (Hard Skills)
• Marketing Material Review (Hard Skills)
• Compliance Function Oversight (Hard Skills)
• AML Documentation Review (Hard Skills)
• Regulatory Filing Preparation (Hard Skills)
• Compliance Training Development (Hard Skills)
• Compliance Testing and Monitoring (Hard Skills)
• Electronic Communication Review (Hard Skills)

Job Summary: 

• Monitor compliance with the Firm’s Code of Ethics (e.g., employee personal trading, outside activities, political contributions and gifts and entertainment).
• Along with the Chief Compliance Officer (CCO) or Deputy Chief Compliance Officer (DCCO), maintain the Firm’s restricted list
• Maintain the compliance calendar and track project and compliance plan deliverables
• Provide compliance onboarding for new hires and support the overall compliance training program
• Help with any compliance training preparation for firm employees under the guidance of the CCO or DCCO
• Support the compliance risk assessment process and the compliance testing program
• Provide data entry assistance and data quality support for regulatory filings (Form ADV, Form PF, 13 Series filings, etc.).
• Collaborate with various teams in gathering information for regulatory examinations, internal audits, and regulatory investigations and inquiries
• Provide ad-hoc reporting, as needed by the CCO or DCCO, on items related to soft-dollar data and reporting
• Participate and listen in on expert network calls, as needed, an in the absence of the CCO or DCCO
• Assist with necessary preparation of filings related to AIFMD and offshore registrations

Skills on Resume: 

• Ethics Monitoring (Hard Skills)
• Compliance Calendar Management (Hard Skills)
• Training Program Support (Hard Skills)
• Risk Assessment Support (Hard Skills)
• Data Management (Hard Skills)
• Collaboration and Information Gathering (Hard Skills)
• Ad-hoc Reporting (Hard Skills)
• Regulatory Filing Preparation (Hard Skills)

Job Summary: 

• Prepare for New Accounts and authorize accounts 
• Responsible for ensuring the accuracy of information required for opening of new accounts.
• Conduct due diligence review for customers at on-boarding
• Research beneficial ownership with account relationships
• Liaise with internal and external customers to clarify company ownership
• Adhere to AML Regulations
• Conduct on-going monitoring of high-, medium-, and low-risk relationships
• Maintain Politically Exposed Person Register with up to date information and review these relationship on a periodic basis
• Review customer transactions for compliance with BSA/OFAC program
• Assist with OFAC, PEP, and other BSA regulatory programs
• Store all documentation correctly and update internal system(s) accordingly
• Maintain paperwork to company standards
• Responsible for completing weekly, monthly, and ad hoc statistics and tasks

Skills on Resume:

• Account Authorization (Hard Skills)
• Due Diligence Review (Hard Skills)
• AML and Compliance Adherence (Hard Skills)
• Risk Monitoring (Hard Skills)
• Documentation Management (Hard Skills)
• Customer Liaison (Soft Skills)
• Research and Analysis (Hard Skills)
• Statistical Reporting (Hard Skills)

Job Summary: 

• Assist in managing HK regulatory licensing related matters e.g. staff application and collection of supporting documents, form completion, processing annual return, requisite filings, notifications to staff and maintaining relevant licensing / personnel records and communications
• Assist in coordinating new hire and ongoing trainings and maintain employee Continuous professional training records
• Assist in managing a number of core compliance functions including new staff dealing account approval
• Assigning compliance orientation training; record keeping of staff dealing confirmations and deal review and etc.
• Assist in conducting investigation into any violations of the rules, regulations and firm's policy and procedures
• Assist in carrying out the monitoring and surveillance of the stock trading activities
• Assist in special assignment, project coordination and implementation of new policies
• Assist in coordinating and liaising with regulatory authorities for regulatory enquiries, reporting, inspection, or investigation
• Assist in coordinating action items in relation to new regulatory initiatives and requirements
• Assist in preparing regular risk report for management

Skills on Resume:

• Regulatory Compliance Management (Hard Skills)
• Training Coordination (Hard Skills)
• Record Keeping (Hard Skills)
• Investigation and Surveillance (Hard Skills)
• Policy Implementation (Hard Skills)
• Regulatory Liaison (Hard Skills)
• Project Coordination (Hard Skills)
• Risk Reporting (Hard Skills)

Job Summary: 

• Review employee trading, private investments, and outside activities to ensure compliance with firm policies
• Assist in the drafting, maintenance, and implementation of policies, procedures, and training
• Document issues and implement solutions in a timely manner after discovery and resolution
• Participate in internal and external audits and reviews of the firm's compliance program
• Assist with general compliance matters and other projects
• Check regulatory ( CBRC, PBOC, SAFE) systems to retrieve notices on daily basis.
• Provide support in preparation and coordination of regulatory surveys, routine and ad-hoc regular reports.
• Handle document registration and record filing process.
• Assist in the communication and meeting arrangement with local regulators.
• Deliver on results for testing program – this involves quant assessment of effectiveness such as pre-trade tests, investment guidelines, aggregation of trades, and more.
• Carryout all investor relations and marketing support for wealth management

Skills on Resume: 

• Policy Implementation (Hard Skills)
• Document Management (Hard Skills)
• Audit Participation (Hard Skills)
• Regulatory Monitoring (Hard Skills)
• Issue Resolution (Hard Skills)
• Communication Coordination (Soft Skills)
• Analytical Testing (Hard Skills)
• Investor Relations Support (Hard Skills)

Job Summary: 

• Conduct testing of compliance policies and procedures and document the results thereof.
• Review compliance documents and broker/custodian account opening forms.
• Conduct compliance training for new and existing employees
• Explain company policies and requirements to others within the firm.
• Draft basic compliance procedures, training materials, and other related documents.
• Research, analyze, and draft memos and external communications.
• Participate in special projects 
• Create and maintain databases and compliance records.
• Identify areas for improvement and problem-solve solutions.
• Serve as liaison between Hall Capital and external service providers and counterparties as needed, including vendors and broker-dealers.
• Assist in investment risk performance reporting, proxy voting, and code of ethics surveillance

Skills on Resume:

• Compliance Testing (Hard Skills)
• Document Review (Hard Skills)
• Compliance Training Delivery (Hard Skills)
• Policy Communication (Hard Skills)
• Research and Analysis (Hard Skills)
• Database Management (Hard Skills)
• Problem Solving (Soft Skills)
• Stakeholder Liaison (Soft Skills)

Job Summary: 

• Implement and enforce the Firm’s compliance policies and procedures.
• Handle Code of Ethics-related tasks, including personal trading matters
• Activities related to compliance tracking system, including administering system, coordinating with vendors, suggesting improvements, and implementing updates and corrections
• Reporting employee transactions/holdings and overseeing preclearance requests and employee trades in the automated compliance system
• Identifying violations, drafting memos and communications with personnel
• Researching new brokers to add to electronic feed for automation of brokerage account review
• Processing periodic internal compliance certifications and questionnaires
• Maintaining the Firm’s restricted list and Creating compliance trainings
• Handling political contribution requests, including factual research of status of candidate in light of SEC pay-to-play rules and making recommendations.
• Assist with the preparation of regulatory filings, including but not limited to SEC filings (e.g., ADV and Section 13), Treasury filings (TIC and SHC Forms), BEA filings, other foreign regulatory filings, and related duties.
• Assist with maintaining the compliance calendar.

Skills on Resume:

• Compliance Policy Enforcement (Hard Skills)
• System Administration (Hard Skills)
• Transaction Monitoring (Hard Skills)
• Research and Due Diligence (Hard Skills)
• Training Development (Hard Skills)
• Regulatory Filings Preparation (Hard Skills)
• Analytical Problem-Solving (Soft Skills)
• Time Management (Soft Skills)

Job Summary: 

• Support associate questions regarding Capital’s Personal Investment Policy
• Update the Personal Trading Assistant (PTA) system with Capital associates' information
• Scan and file electronic brokerage and confirmation statements into a Repository of Content system
• Review covered associates' account holdings and trade information and investigate discrepancies
• Support the quarterly and annual Code of Ethics certification process and ensure associates are in compliance with CG policies and regulations
• Review disclosures and support other areas covered by the Code of Ethics
• Works to build successful relationships with customers on a situational basis, with a goal of creating lasting partnerships between brokers and the GA.
• Independently researches and identifies new areas for growth and development initiatives.
• Contributes to monthly compliance newsletters, blogs, key agency newsletters, podcasts, and all applicable social media outlets in conjunction with management.
• Assist in regulatory gap analysis and remediation

Skills on Resume: 

• Policy Administration (Hard Skills)
• System Data Management (Hard Skills)
• Document Management (Hard Skills)
• Compliance Monitoring (Hard Skills)
• Ethics Review and Support (Hard Skills)
• Relationship Management (Soft Skills)
• Independent Research (Soft Skills)
• Content Creation (Hard Skills)

Job Summary: 

• Communicating with brokers and internal team members about compliance. 
• Researches situational compliance inquiries, consults with senior compliance staff, and formulates formal responses for all situational inquiries using independent judgement and discretion.
• Speaks to the value of the GA's resell product portfolio when communicating with brokers situationally, using this expertise to produce sales of new products
• Innovates, creates, maintains and distributes compliance collateral to staff, brokers and employers. 
• Creative and take independent initiative to create and maintain such collateral.
• Conducts webinar presentations and builds educational tools to supplement such presentations. 
• Creates and maintains compliance web content. 
• Acts as a subject matter expert for compliance to support the IT team as it improves the GA's website and online resource center.
• Creates the voice of the GA's compliance team to brokers and staff on a daily basis. 
• Engaging in strong relationship building with brokers and staff. 

Skills on Resume:

• Compliance Communication (Hard Skills)
• Research and Analysis (Hard Skills)
• Sales and Marketing Knowledge (Hard Skills)
• Content Development (Hard Skills)
• Webinar Presentation (Hard Skills)
• Web Content Management (Hard Skills)
• Creative Initiative (Soft Skills)
• Relationship Building (Soft Skills)

Job Summary: 

• Collaborating with lawyers and other compliance professionals on Legal and Compliance projects related to electronic trading
• Updating compliance filings, records and systems relevant to broker-dealer registrations, employee files, and other similar legal and compliance functions
• Testing of Compliance policies and procedures in support of annual certifications and reviews
• Contributing to the surveillance program, including performing e-communication reviews
• Assisting with the administration of the training program along with helping to organize, coordinate and complete both central compliance projects and daily tasks
• Organizing and coordinating follow-up items with responsible parties and ensuring prompt execution of tasks and resolution of issues
• Assisting with regulatory inquiries and exams
• Provide advice and support to the operational teams and functional heads
• Coordinate and follow-up on audit responses, CAPAs (project, vendor & audit), SOP deviations and maintain log of findings
• Takes the lead on innovating, creating and maintaining a comprehensive response library for compliance support inquiries, which will also serve as a shared knowledge-source for all Compliance team members.

Skills on Resume: 

• Compliance Management (Hard Skills)
• Regulatory Documentation (Hard Skills)
• Policy Testing and Review (Hard Skills)
• Surveillance and Monitoring (Hard Skills)
• Training Program Administration (Hard Skills)
• Project Coordination (Soft Skills)
• Problem Resolution (Soft Skills)
• Strategic Advisory (Soft Skills)

Job Summary: 

• Creating a compliance program with experienced knowledge in debit, deposit, and consumer regulations
• Communicate with various lines of business including the internal audit team regarding compliance program
• Work with legal team to advise and adhere to new regulations
• Centralized focus on compliance build-out, working with operations team to create a solid foundation between departments
• Create general compliance risk assessment framework to mitigate risk
• Perform regular study reviews (as per the approved schedule) by assessing project files and archives to ensure completeness and compliance with regulations such as GCP, GMP and GDP along with medical and nursing requirements.
• Host and be the point of contact for customer & vendor audits and regulatory inspections.
• Monitoring and communication of audit and inspection findings
• Collate trend analyses, quality metrics and key performance indicators from the business and report to the Operating Board each month. 
• Report quality trends to division heads on a regular basis

Skills on Resume:

• Regulatory Compliance (Hard Skills)
• Risk Assessment Development (Hard Skills)
• Audit Management (Hard Skills)
• Data Analysis (Hard Skills)
• Interdepartmental Coordination (Soft Skills)
• Effective Communication (Soft Skills)
• Problem Solving (Soft Skills)
• Reporting and Documentation (Hard Skills)