Compliance Associate Jobs
A compliance associate job involves a wide range of activities such as coordinating and managing the compliance monitoring process, leading specific data protection initiatives, preparing compliance policies, and advising on sales practices and promotions. A compliance associate will monitor a firm\\\'s information barriers and track information flow and conduct surveillance of employee, proprietary, customer and affiliate trading accounts. A compliance associate will review research for compliance with applicable regulatory requirements and internal policies, and will be responsible for communications between investment banking and research personnel. A compliance associate may provide advice with respect to a firm\\\'s information barrier policies, including trading restrictions, clearance of employee trading requests, and research publications.
A compliance associate job requires a foundation certificate and professional diploma in compliance. Experience of 3+ years in financial services is essential for the job. A compliance associate should have the ability to carry out multiple tasks, ability to spot issues and analyze complex problems quickly and thoroughly and have attention to detail. Excellent communication skills, both written and oral are required.
A compliance associate job involves a wide range of activities such as coordinating and managing the compliance monitoring process, leading specific data protection initiatives, preparing compliance policies, and advising on sales practices and promotions. A compliance associate will monitor a firm\\\'s information barriers and track information flow and conduct surveillance of employee, proprietary, customer and affiliate trading accounts. A compliance associate will review research for compliance with applicable regulatory requirements and internal policies, and will be responsible for communications between investment banking and research personnel. A compliance associate may provide advice with respect to a firm\\\'s information barrier policies, including trading restrictions, clearance of employee trading requests, and research publications.
A compliance associate job requires a foundation certificate and professional diploma in compliance. Experience of 3+ years in financial services is essential for the job. A compliance associate should have the ability to carry out multiple tasks, ability to spot issues and analyze complex problems quickly and thoroughly and have attention to detail. Excellent communication skills, both written and oral are required.
search related to: Compliance Associate Jobs
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257 matches
| date | location | job title |
| Jan 24, 12 | |
USA-VA-McLean | |
Senior Associate, Regulatory Compliance Job (DRN38521531)
.... Title: Senior Associate, Regulatory Compliance Job Job ID: 1293983A7 City: McLean, State: VA Department: Contract Compliance Job Details: Business Title: Senior Associate, Regulatory Compliance Requi.... |
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| Jan 24, 12 | |
USA-CA-San Francisco | |
Senior Associate, Conusmer Compliance Job (DRN44946914)
.... Title: Senior Associate, Conusmer Compliance Job Job ID: 1668948A0 City: San Francisco, State: CA Department: Regulatory Job Details: Business Title: Senior Associate, Conusmer Compliance Requisition.... |
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| Jan 10, 12 | |
USA-CA-Los Angeles | |
Senior Associate, Contract Compliance Job (DRN44617353)
.... Title: Senior Associate, Contract Compliance Job Job ID: 1470217A3 City: Los Angeles, State: CA Department: Contract Compliance Job Details: Business Title: Senior Associate, Contract Compliance Requ.... |
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| Jan 08, 12 | |
USA-FL-Fort Lauderdale | |
Regulatory Affairs Associate - Contract
.... biotechnology, and medical device companies with consulting and full-time positions. Our client is a Fortune 1000 Medical Device company with a world class management team. We are assisting in their .... |
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| Jan 07, 12 | |
USA-NY-New York City | |
Senior Associate, Regulatory Compliance Job (DRN44553391)
.... Title: Senior Associate, Regulatory Compliance Job Job ID: 1644262A0 City: New York, State: NY Department: Insurance Regulatory Job Details: Business Title: Senior Associate, Regulatory Compliance Re.... |
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