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Compliance Analyst
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Cloudbreak Compliance Group, LLC White Plains, United StatesAbout Cloudbreak Compliance Group, LLC · Cloudbreak Compliance Group is a leading compliance consulting firm that works primarily with private funds managers. Cloudbreak seeks to provide clients with highly-tailored and business friendly solutions in today's constantly-evolving, ...
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Compliance Analyst
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Cloudbreak Compliance Group LLC White Plains, United StatesAbout Cloudbreak Compliance Group, LLC · Cloudbreak Compliance Group is a leading compliance consulting firm that works primarily with private funds managers. Cloudbreak seeks to provide clients with highly-tailored and business friendly solutions in today's constantly-evolving, ...
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Compliance Analyst
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Cloudbreak Compliance Group LLC White Plains, United StatesAbout Cloudbreak Compliance Group, LLC · Cloudbreak Compliance Group is a leading compliance consulting firm that works primarily with private funds managers. Cloudbreak seeks to provide clients with highly-tailored and business friendly solutions in todays constantly-evolving, ...
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Compliance Analyst
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Eclaro White Plains, United StatesThis position's primary responsibility will be to administer the agent disciplinary action process, which involves the review and evaluation of disciplinary action recommendations and supporting documentation, seeking and receiving relevant recommendations from appropriate partie ...
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Compliance Analyst
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Unigen Newark, United States**Job Title**:Compliance Analyst** · **Department**:Quality Assurance Engineering** · **Job Overview**: · The Compliance Analyst manages and maintains Unigen compliance programs. Reports to Sr. Manager, QE and QA Located in Newark, CA · **Primary Job Responsibilities**: · **1. ES ...
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Compliance Analyst
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BOGOTA SAVINGS BANK Hasbrouck Heights, United StatesBogota Savings Bank seeks a Compliance Analyst with a background in Deposit compliance and BSA to assist and support the Compliance/CRA Officer in oversight of the Bank's retail banking activities (both commercial and consumer) and assist the business units to ensure practices, p ...
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Compliance Analyst
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Ampcus Incorporated White Plains, United States: · This position's primary responsibility will be to administer the agent disciplinary action process, which involves the review and evaluation of disciplinary action recommendations and supporting documentation, seeking and receiving relevant recommendations from appropriate pa ...
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Compliance Analyst
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Eclaro White Plains, United StatesThis position's primary responsibility will be to administer the agent disciplinary action process, which involves the review and evaluation of disciplinary action recommendations and supporting documentation, seeking and receiving relevant recommendations from appropriate partie ...
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Compliance Analyst
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Tikehau Capital New York, United States**Role**: · Working closely with the CCO, this role will be responsible for: · - Reviewing and updating compliance policies and procedures; · - Executing periodic compliance controls over the activities in the Americas; · - Assisting with investment compliance; · - Reviewing and ...
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Compliance Analyst| Operations Analyst
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Ampcus Inc White Plains, NY, United StatesCompliance Analyst · Location:44 South Broadway New York 10601 Hybrid · Duration: 12 Months · Notes: Looking for an individual with a type A personality that is well organized, excellent communication skills (written and verbal) and proficient in Microsoft Office Suite. · *An ...
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Compliance Data Analyst
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Christie's New York, United StatesJunior Compliance Analyst, Corporate Compliance (Temporary, Part-time) · The Company · Christie's, the world's largest Art Business, is an incredibly exciting & enriching place to start or continue your career. Whether you work within one of our Specialist Art Departments or in o ...
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Contracts and Compliance Analyst
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Aml Compliance Analyst
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Mizuho Americas New York, United StatesJob Summary · Compliance Analyst is responsible for administrative functions of the AML Financial Investigations Unit (FIU) for Transaction Monitoring, including Suspicious Activity Reports ("SAR") related responsibilities, Head Office reporting requirements and Transaction Monit ...
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Audit and Compliance Analyst
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Junior Compliance Analyst
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Gen II Management LLC New York, United StatesGen II Fund Services Boston office is seeking an entry level compliance analyst to work with the compliance team in all administrative tasks related to Anti-Money Laundering (AML) and Know Your Customer (KYC) services for new and existing clients/investors. · **Administrative Fun ...
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Apollo New York, United StatesPosition Overview · The Compliance Analyst will join Apollo's Financial Crimes Compliance (FCC) Team, whose mission is to prevent, detect, and address illicit financial activities from occurring at Apollo. They will work closely with junior and senior members of Apollo's Complian ...
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Regulatory and Compliance Analyst
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Myth Services Inc Bronx, United States**Regulatory and Compliance Analyst is needed to perform the following duties**: · **Help the pharmacist keep continuous process update with new compliance initiatives.** · - Assist Pharmacist in reviewing Center of Medicare & Medicaid service (CMS) prescription data claims as we ...
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Junior Compliance Business Analyst
3 weeks ago
Saxon Global White Plains, United StatesJob Description: Anti-Fraud Team is looking for an Analyst and Associate level compliance Business analyst to support a project. The Analyst will be working on a project within the Anit-Fraud team. This teams primary focus is on External Fraud related items. Required Experience: ...
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Compliance Payment Processing Analyst
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Stryker Corporation Mahwah, United States**Why join Stryker?** · **Who we want**: · - ** Dedicated achievers.** People who thrive in a fast-paced environment and are driven to complete projects that meet regulations and expectations. · - ** Self-directed initiators.** People who take ownership of their work and need no ...
Compliance Analyst - White Plains, United States - Veterans Sourcing Group LLC
Description
VSG seeks "Compliance Analyst for the major Insurance client located at White Plains, NY.Here's the complete job description for your review:
Job Title:
Compliance Analyst
Job Location:
White Plains, NY
Job Duration: 12 Months Right-to-hire
Hybrid role:
Work remote on Mon and Fri, in the office on Tues, Wed, Thurs
Dress code:
Business Casual (no jeans, no sandals).
Description:
This position's primary responsibility will be to administer the agent disciplinary action process, which involves the review and evaluation of disciplinary action recommendations and supporting documentation, seeking and receiving relevant recommendations from appropriate parties, following up to ensure the timely closure of actions, and producing various management reports both to ensure timely and accurate closure and to note trends that may exist that require additional attention.
This position is also responsible for monitoring email communications of agents who are subject to the Company's Enhanced Supervision program.
This includes periodic review of outgoing and incoming (where appropriate) emails of the agents and their assistants, escalate items of concern, communicate findings, and ensure appropriate and timely handling of the findings as well as documentation.
This role is also responsible for ensuring that the branch offices are executing their Agent Enhanced Supervision programs, completing their supporting documents accurately and submitting them to the Home Office Agency Standards in a timely fashion.
This position may also support multiple other functions within Agency Standards, including Ethics Point complaint handling and agent Enhanced Underwriting.
Requirements:
Strong analytical and investigative skills.
Excellent verbal and written communication skills.
Excellent organizational skills.
Ability to manage multiple work items, work independently and follow through to completion.
Strong work ethic and attention to detail.
Proficient with Microsoft Word and Excel.
Preferred but not required:
Series 6 or 7 or other insurance designations.
Other Preferred Qualifications:
Prior experience in the insurance/securities industry, preferably in compliance or operations.
Knowledge of Insurance and Securities Products including Life Insurance, Fixed and Variable Annuities, and Mutual Funds.
Requires a bachelor's degree in business or related field and 1-4 years of relevant experience .
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