- Work in conjunction with the Chief Compliance Officer (CCO) to develop, implement, and supervise all regulatory policies and procedures to prevent any and all firm violations, which could produce significant monetary and reputational damage to the firm.
- Maintain all relevant policies and procedures based upon regulatory requirements, industry practices, as well as the compliance and forensic testing of all internal controls of the firm.
- Along with the CCO implement the necessary risk assessment reviews in order to ensure the firm's activities remain in compliance with all aspects of regulatory and industry standards and practices.
- Perform all daily, monthly, quarterly and annual compliance reviews, including the submission of all reports and updates to the regulatory bodies.
- Assist the CCO in providing training and advice on all applicable rules, regulations, and firm policies to firm staff.
- The position requires strong communication with senior management to discuss any and all new or changing policies and procedures, along with the timely reporting of any violations.
- Ability to communicate and educate any and all changes to staff.
- Point of contact for regulators and auditors.
- Other responsibilities as assigned by management.
- Confidentiality: This position has access to all company information ranging from client information to corporate financials.
- Mental Application: This position must demonstrate the ability to effectively analyze situations, absorb large amounts of information, and apply judgment to resolve issues in a timely manner, in addition to the development of the firm's policies and procedures.
- The ability to effectively demonstrate strong communication skills, both oral and written, in order to draft clear and professional correspondence, policies and procedures, as well as correspond with regulators and auditors.
- Working Conditions: This job requires both time in the office environment and travel to meet all requirements.
- Equipment Operations: This position requires proficiency in the Microsoft Office Suite, Salesforce (CRM Software), Tamarac (Portfolio Management Software), and NETX360 (Custodian Proprietary Software), along with various compliance-specific software programs.
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Compliance Administrator - Goshen, United States - Orange Bank & Trust Company
1 week ago
Description
General Summary:
The position is responsible for the development, implementation, and testing of all required policies and procedures to keep the firm in regulatory compliance as set forth in the Investment Advisers Act of 1940.
Essential Duties and Job Responsibilities:
Other Responsibilities:
Education, Certifications, and Experience:
Education:
Business or
Finance Required:
Bachelor's Degree
Preferred:
Certifications are a plus, but not required
Experience:
Financial Industry Required: 3 years or more
Preferred:
Compliance experience, but not required
Knowledge, Skills, and Abilities:
Work Environment:
Physical Demands:
Special Note:
External and internal applicants, as well as position incumbents, must be able to perform the essential job functions as set forth above.
is committed to a policy of Equal Employment Opportunity and will not discriminate against an applicant or employee on the basis of age, sex, sexual orientation, race, color, creed, religion, ethnicity, national origin, alienage or citizenship, disability, marital status, military or veteran status or any other legally-recognized protected basis under federal, state or local laws, regulations or ordinances.
Upon request, individuals with disabilities may be entitled to a reasonable accommodation.A reasonable accommodation is a change in the way things are normally done that will ensure an equal employment opportunity without imposing an undue hardship on the bank.
Please inform the Human Resources Department if you need assistance completing any forms or to otherwise participate in the application process or, at the appropriate time, to perform the essential functions of the job.
This job description in no way states or implies that these are the only duties to be performed by an employee.
Additional functions and requirements may be assigned by supervisors as deemed appropriate, based on the employee's knowledge, skill and ability as well as his/her mental and physical abilities.
