Compliance Analyst IV W2 ONLY 7249725

San Ramon, CA

Post Date: 08/15/2017 Job ID: 3104 Industry: Professional Positions

W2 ONLY   6 Month Contract

 

Summary:

Our client is seeking a Compliance Analyst to plan, direct, and coordinate operations of to ensure compliance with ethical or regulatory standards in Banking.

 

Job Responsibilities:
  • Communicate regulatory information to multiple departments and ensure that information is interpreted correctly.
  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
  • File appropriate compliance reports with regulatory agencies.
  • Conduct or direct the internal investigation of compliance issues.
  • Identify compliance issues that require follow-up or investigation.
  • Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
  • Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
  • Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
  • Discuss emerging compliance issues with management or employees.
  • Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.
  • Advise internal management or business partners on the implementation or operation of compliance programs.
  • Consult with corporate attorneys as necessary to address difficult legal compliance issues.
  • Direct the development or implementation of compliance-related policies and procedures throughout an organization.
  • Monitor compliance systems to ensure their effectiveness.
  • Prepare management reports regarding compliance operations and progress.
  • Provide assistance to internal or external auditors in compliance reviews.
  • Design or implement improvements in communication, monitoring, or enforcement of compliance standards.
  • Assess product, compliance, or operational risks and develop risk management strategies.
  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations.
  • Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.
  • Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.

 

Skills:
  • Verbal and written communication skills, attention to detail and interpersonal skills.
  • Ability to work independently and manage one' s time.
  • Strong knowledge of financial regulation.
  • Ability to apply accounting and mathematical principles to work as needed.
  • Previous experience with computer applications, such as Microsoft Word and Excel.

 

Education/Experience:
  • Bachelor' s degree in business management, economics, finance, accounting or relevant field required.
  • 8-10 years experience required

Calley Molina


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