us.fulltimejobs.com

Compliance & regulatory Jobs


USA


Selected Items








Search by Countries
 
Search by States
 
Search by Cities
astoria, NY - 11101 (1)
fort worth, TX - 76108 (1)
irvine, CA - 92618 (1)
jersey city, NJ - 07304 (1)
miami, FL - 33016 (1)
new york, NY - 10001 (1)
new york, NY - 10002 (2)
new york, NY - 10003 (2)
new york, NY - 10005 (1)
new york, NY - 10010 (2)
new york, NY - 10011 (2)
new york, NY - 10013 (1)
phoenix, AZ - 85002 (1)
phoenix, AZ - 85014 (1)
phoenix, AZ - 85017 (1)
 
Search by Employment Type
 
Search by Job Hours
 
Search by Company
 
Search by Industry
 
Search by Functional Area
 
Refine Job Search      
 Within Miles
 
Search results for Compliance & regulatory Jobs
Sort By :  ago
 
Senior Compliance Officer - AML Operations
The NY Branch of a foreign bank is looking for Senior Compliance Officer – AML Operations. The Senior Compliance Officer – AML Operations is going to be overseeing the day to day aspects of the OFAC, BSA/AML operations, including coordinating deadlines and managing the day-to-day workload of the unit and assigning job duties within the area, to ensure timely completion of assignments and duties. The Senior Compliance Officer – AML Operations will: Assist with writing and maintenance of policies and procedures Manage the tuning and calibration efforts of the AML transaction monitoring software in concert with the BSA/AML Officer and/or BSA/AML Deputy Develop, administer and m...
Skills:communication skills
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:09/08/2017
 
Apply for this Job

Portfolio Compliance Specialist
An asset manager is looking to bring on a Portfolio Compliance Specialist to provide extra support to their risk and compliance team. The Portfolio Compliance Specialist will require knowledge of investment instruments and pre-trade/ post trade compliance surveillance. The Portfolio Compliance Specialist will: • Conduct review of portfolios for compliance with client and regulatory restrictions (using Charles River). Blackrock Aladdin, in the long term. • Handle day-to-day issues in Charles River, including researching and acting on system alert and warning exceptions • Review exception reports and conduct forensic testing as part of on-going compliance monitoring program ...
Skills:Good problem-solving skills
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:17/07/2017
 
Apply for this Job

Director of Compliance
An asset manager and investment bank is looking for a Director of Compliance for Institutional Distribution the Director of Compliance will: Assist in ongoing development and support of our global compliance program for Institutional sales; Serve as a liaison for GIPS, represent Institutional Compliance at GIPS Committee Meetings and provide regulatory compliance advice to the GIPS Committee when required; Develop and review regulatory policies, procedures, and assist the business with developing or reviewing desktop procedures for the business; Attend meetings and hold ad hoc discussions with the business to understand new marketing initiatives; offer compliance guidance, and ...
Skills:Client Advertising Rules
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:17/07/2017
 
Apply for this Job

Senior Compliance Associate
A Registered Investment Adviser that manages PE funds and has an affiliated Client is looking for a Senior Compliance Associate. The Senior Compliance Associate will report up to the CCO for the Client, who reports up to the General Counsel/Chief Compliance Officer. The Senior Compliance Associate will Assist with managing a comprehensive compliance program for limited purpose Client authorized to promote the private funds of its parent company Monitor and test compliance program Manage annual and quarterly employee compliance reports and attestations Assess and mitigate legal and compliance risks and conflicts of interest Manage regular compliance training of employe...
Skills:Advanced skills in Excel
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:17/07/2017
 
Apply for this Job

Compliance Director
Compliance Director Looking for an experienced candidate to join the firms growing Institutional Compliance team. Reporting to the Head of Institutional Distribution Compliance, the Compliance professional will be a point person for the day-to-day compliance needs which encompasses sales and marketing, client services (for SMAs) and investor services (for funds) and will provide compliance support on key areas such as product and strategy distribution and sales initiatives. The successful applicant will work closely with compliance colleagues in the U.S., Europe and Asia to ensure coordinated compliance coverage for the team, and will be responsible for providing advice on cross-...
Skills:Investment Advisors Act of 1940
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:17/07/2017
 
Apply for this Job

Compliance Analyst - Complaints
A large transportation and auto finance startup is looking to bolster its compliance team. This part of the company provides leasing alternatives and solutions for drivers. In order to make sure the company is providing the best product and service, the compliance team needs Compliance Analysts to manage customer and driver complaints. However, these analysts will be part of an elite team that deals with complaints that are escalated from the customer service department. The Compliance Analysts will be expected to provide compliance guidance to the organization, beginning with policies, procedures, and the Compliance Management System. A Compliance Analyst on the Complaints ...
Skills:CRCM
Company:Infinity Consulting Solutions, IncLocation:PHOENIX, AZ
Posted Date:14/07/2017
 
Apply for this Job

Compliance Analyst
The NY Branch of a foreign bank is looking for Compliance Analysts. The Compliance Analysts will first help with a remediation and RFI. The Compliance Analyst will: Be able to transition from Transaction Monitoring investigations to clearing of OFAC screening alerts where need arises. Assist with various BSA/Regulatory projects. Assist with CIP, CDD, EDD, KYC Reviews. Responsible for sending out RFIs and tracking own cases as part of investigations as per procedure. Assisting with other ad hoc tasks assigned by BSA/AML OFAC Senior Compliance Operations Manager. Bachelor's degree or equivalent, with at least 2-5 years of work experience in the compliance field, preferably ...
Skills:ACAMS certificate
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:14/07/2017
 
Apply for this Job

AML Business Analyst
The NY branch of a foreign bank is looking for a AML Business Analyst. The Business Analyst ensures that all activities undertaken by the branch comply with the US Federal and State Banking Regulations, specifically regarding the Bank Secrecy Act and US Patriot Act. Compliance is responsible for transaction monitoring, Know Your Customer (KYC), Enhanced Due Diligence (EDD), filing of SARs, and all issues on US sanctions against countries/entities (SDN), drug trafficking, organized crime, tax evasion, embezzlement and money laundering as well as overseeing and verifying that all staff are adequately trained in their assignment, particularly for BSA, and other regulatory issues and mai...
Skills:ACAMS certificate
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:08/07/2017
 
Apply for this Job

Portfolio Compliance Specialist
An asset manager is looking to bring on a Portfolio Compliance Consultant to provide extra support to their risk and compliance team. The Portfolio Compliance Consultant will require knowledge of investment instruments and pre-trade/ post trade compliance surveillance. The Portfolio Compliance Consultant will: • Conduct review of portfolios for compliance with client and regulatory restrictions (using Charles River) • Handle day-to-day issues in Charles River, including researching and acting on system alert and warning exceptions • Review exception reports and conduct forensic testing as part of on-going compliance monitoring program • Review client contracts and interpr...
Skills:problem-solving skills
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:06/07/2017
 
Apply for this Job

Portfolio Compliance Specialist
An asset manager is looking to bring on a Portfolio Compliance Specialist to provide extra support to their risk and compliance team. The Portfolio Compliance Specialist will require knowledge of investment instruments and pre-trade/ post trade compliance surveillance. The Portfolio Compliance Specialist will: • Conduct review of portfolios for compliance with client and regulatory restrictions (using Charles River). Blackrock Aladdin, in the long term. • Handle day-to-day issues in Charles River, including researching and acting on system alert and warning exceptions • Review exception reports and conduct forensic testing as part of on-going compliance monitoring program ...
Skills:problem-solving skills
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:04/07/2017
 
Apply for this Job

Compliance Analyst
A large foreign corporate and investment bank is looking for a Compliance Analyst for a project. The Compliance Analyst will help with the: Process for registering customer static data into the bank's systems. Communicate with Account Officers and respond to inquiry from other departments Deliver documents to related unit / section, e.g. Deposit Account Opening request. Check the data integrity among systems. Liaise with Account Officers regarding differences between CCDB and the various systems. Investigate differences between CCDB and the various systems. Monitor daily outstanding items in the CCDB To Do List. Responsible for daily monitoring and reporting to ac...
Skills:Communication Skill
Company:Infinity Consulting Solutions, IncLocation:JERSEY CITY, NJ
Posted Date:04/07/2017
 
Apply for this Job

Deputy BSA Officer
Position Function: The Deputy BSA Officer is responsible for assisting the Bank s BSA Officer in the administration, monitoring, and on-going improvement of the Bank s Bank Secrecy Act (BSA) Program, for the purpose of ensuring the Banks compliance with the BSA, Anti-Money Laundering (AML) and Office of Foreign Assets Control (OFAC) requirements. Performs all duties and interacts with internal and external customers in a manner aligned with the Company Core Values. Qualifications: The Deputy BSA Officer will have a Bachelors degree (Required) Spanish preferred ACAMs or equivalent certification (Preferred) 6+ years in bank Compliance or BSA experience or a combination...
Skills:Microsoft Office
Company:Infinity Consulting Solutions, IncLocation:MIAMI, FL
Posted Date:16/06/2017
 
Apply for this Job

Compliance Associate
Responsibilities Preparation, review and implementation of policies and procedures Lead and/or participate in projects initiated by the businesses, Legal & Compliance, or the firm Assistance with responding to external and internal client inquiries Assistance with day-to-day compliance matters such as addressing compliance dashboard inquiries and handling data requests Assistance with managing regulatory reporting and MI reporting for various oversight committees Analysis of existing and new regulations and the design and development of any required control framework Provide support and back-up for broader Americas related initiatives and tasks. 5-8 years...
Skills:project management skills
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:26/05/2017
 
Apply for this Job

IT Compliance- Security
Our Client is a leading international financial services firm, and they are currently building out their sanctions systems and technology review team that is based out of Midtown Manhattan. This is a VP level position that will be responsible for ensuring global Bank systematic and technological compliance by conducting enterprise systemic control evaluation reviews relevant BSA/AML/Sanctions related systems. Responsibilities: Lead the Sanctions Systems & Technology Review Team Design a plan to perform on a global level systematic control evaluation reviews for BSA/AML/Sanctions related systems, including a plan to determine if the Bank's sanctions related systems contain the ...
Skills:Microsoft Office Suite
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:06/05/2017
 
Apply for this Job

Compliance Analyst - Complaints
A large transportation and auto finance startup is looking to bolster its compliance team. This part of the company provides leasing alternatives and solutions for drivers. In order to make sure the company is providing the best product and service, the compliance team needs Compliance Analysts to manage customer and driver complaints. However, these analysts will be part of an elite team that deals with complaints that are escalated from the customer service department. The Compliance Analysts will be expected to provide compliance guidance to the organization, beginning with policies, procedures, and the Compliance Management System. A Compliance Analyst on the Complaints ...
Skills:CRCM
Company:Infinity Consulting Solutions, IncLocation:PHOENIX, AZ
Posted Date:06/05/2017
 
Apply for this Job

Compliance Analyst - Testing
An auto finance company that is part of a larger transportation company is looking to bolster its growing compliance team. The organization is looking for three Compliance Analysts - Testing to provide ongoing testing,monitoring and assessment of the systems, procedures and compliance to make sure the program is valid and reliable. There are three people on the team now and they are continuing to expand due to growth of and investment in the team. The three Compliance Analysts - Testing will need to be based in Phoenix. There is a relocation package on the table. The Compliance Analysts-Testing will: Provide compliance support to the business to maintain compliance with all...
Skills:auto finance
Company:Infinity Consulting Solutions, IncLocation:PHOENIX, AZ
Posted Date:06/04/2017
 
Apply for this Job

Senior Compliance Analyst
Our client is a NY based consumer bank. They are looking for a Senior Compliance Analyst. The Senior Compliance Analyst will assist the Compliance Department with daily task and responsibilities including, consumer complaints, investigations, monitoring and consultant scheduling. The Senior Compliance Analyst will: Aid the Compliance Department. Writing and updating policies and procedures. Prepare compliance monitoring schedule and perform compliance reviews. Develop manual training materials and assist with training bank personnel. Perform compliance investigations. Process customer complaints received which includes investigating the nature of the complaint, coordin...
Skills:organizational skills
Company:Infinity Consulting Solutions, IncLocation:ASTORIA, NY
Posted Date:05/04/2017
 
Apply for this Job

BSA Analyst I
SUMMARY Works closely with the BSA Analyst II and III to ensure that all departments within the Bank are compliant with BSA Requirements, and is responsible for overseeing a portion of the day-to-day monitoring, reporting, and control processes within the BSA department. The BSA Analyst I is actively engaged with other departments within the bank to assist in clarifying BSA requirements and ensuring that their procedures cover necessary BSA elements. ESSENTIAL DUTIES AND RESPONSIBILITIES · Monitors the Bank's cash transactions by reviewing system reports (branch reporting) and ensuring accurate aggregation. Review of any applicable logs or recordkeeping requirements as t...
Skills:Bank Secrecy Act compliance
Company:Infinity Consulting Solutions, IncLocation:IRVINE, CA
Posted Date:22/03/2017
 
Apply for this Job

Senior Compliance Analyst
The Senior Compliance Analyst is responsible for working with the bank's business units to ensure they develop and maintain adequate controls to comply with applicable state and federal regulations and company policies. This position will report to a Compliance Manager and may be involved in a variety of compliance activities including consultation, implementation, training, remediation, testing, monitoring, risk assessment and reporting of compliance issues within the bank. Responsibilities Include: Perform independent transactional testing of mortgage and deposit products to ensure compliance with applicable federal banking laws and regulations Guide and assist business units ...
Skills:CRCM
Company:Infinity Consulting Solutions, IncLocation:FORT WORTH, TX
Posted Date:10/03/2017
 
Apply for this Job