Search jobs > Norwalk, CA > Compliance associate
A company is looking for an Associate, Compliance (Account Review).Key ResponsibilitiesPerform periodic and trigger-based institutional account reviews, including KYC refresh and transactional analysisInterface with the Business Development team to ensure timely reviews of high-priority customer accountsIdentify procedural inefficiencies and assist in developing process improvementsRequired QualificationsBA / BS degree3-4 years of experience in the financial services industry, focusing on transactional analysis or forensic accountingPrevious experience performing KYC and periodic account reviewsStrong understanding of transaction pattern red flagsFamiliarity with Google Suite Applications and intermediate-level expertise in Microsoft Excel
Compliance Associate Senior
I can succeed as a Senior Compliance Associate at Capital Group. As a Senior Compliance Associate , you will help to ensure we comply with regulations, requirements, and policies. Every day will be different as you partner with our in-house lawyers, compliance managers, and investment operations pro...
Trade Compliance Associate
A company is looking for a Trade Compliance Associate to manage import/export trade compliance for cross-border shipments. ...
Assurance Experienced Associate - Independence - Personal Compliance
The National Independence Experienced Associate, Personal Compliance is responsible for assisting the National Independence Personal Compliance team with ensuring the firm and its professionals comply with the independence rules of the Securities and Exchange Commission (SEC), American Institute of ...
Senior Associate Technical Compliance
A company is looking for a Senior Associate, Technical Compliance. ...
Associate Director of Operations - Contracts, Budgeting, and Compliance
The new Associate Director of Operations will create and implement a vision to expand the department’s contracting, budgeting, and compliance capacity. As a member of the Leadership Team, the Associate Director contributes to agency-wide policy making, embodying Brilliant Corners’ commitment to soci...
Product Compliance Associate
A company is looking for a Product Compliance Associate. ...
Associate Manager, Compliance Policy and Standards
The Associate Manager, Compliance Policy and Standards will support Stryker’s efforts to develop and operationalize compliance guidance across the global organization to align business activities with relevant laws, regulations, and ethical standards. This professional will execute the strategic dir...
Compliance Associate Senior
I can succeed as a Senior Compliance Associate at Capital Group. As a Senior Compliance Associate, you will help to ensure we comply with regulations, requirements, and policies. Every day will be different as you partner with our in-house lawyers, compliance managers, and investment operations prof...
Compliance Associate
Los Angeles based private equity firm seeks a Compliance Associate to join their growing team!. Review employee trading and related activities to ensure compliance with firm policies. Lead internal and external audits and reviews of the firm’s activities and compliance program. Review and develop Re...
Senior Compliance Associate
I can succeed as a Senior Compliance Associate at Capital Group. As a Senior Compliance Associate, you will help to ensure we comply with regulations, requirements, and policies. Every day will be different as you partner with our in-house lawyers, compliance managers, and investment operations prof...