Here are sample job postings for Compliance (in Finance) roles...
Head of Compliance, Americas
This role is responsible to advocate a culture of compliance and lead the development and implementation of the Group compliance programs in the region. This role will provide independent oversight of the compliance function in the region and assess and monitor the adequacy and effectiveness of regulatory compliance controls to mitigate Vistra’s risks.
The successful candidate should possess the following:
Compliance Analyst
Sumitomo Trust
Summary: Responsible for identifying and developing criteria and commentary on critical compliance issues across the Bank. Prepares and delivers Bank-wide and targeted training. Drafts new and existing policies and procedures to ensure that the Bank meets the requirement of various legal and regulatory agencies. Responsible for Know Your Customer due diligence, monitoring employee accounts, and Anti Money Laundering activities.
Ensures ongoing improvement and evolution of governance programs and identifies risks and/or gaps in the system. Management Position: No Duties and Responsibilities:
1. Clears Prime System generated BSA related alerts and documents rationales.
2. Performs various watch list related verifications and record-keeping (OFAC/ FinCEN 314a/Japan List).
3. Performs BSA compliance Tests as well as Corporate Compliance Tests
4. Performs Customer/Account Profile reviews via Surety software.
5. Reconciles Employee Personal Trading Monitoring Program related documents.
6. Updates various compliance related logs and keeps track of compliance related documents.
7. Arrange meetings, take minutes.
8. Assists and prepares compliance testing work papers for all the tests performed.
9. Participates in periodic compliance related committees. Take minutes.
10. Assists with preparation of Fed/State pre-planning and introduction letter/first day letter materials.
11. Maintains files on appropriate regulatory compliance related issues.
12. Prepares Compliance newsletter to be sent within the department weekly and Branch wide Compliance newsletter to be sent within the Branch monthly.
13. Prepares various monthly reports.
14. Assists with the Annual Risk Assessment of BSA and Corporate Compliance.
15. Ensures that ethical practices are effectively communicated to all employees throughout SMTBNY and promotes adherence to all ethical practices by all employees.
16. Performs other duties and responsibilities as assigned by management.
Knowledge, Skills, and Abilities:
1. Bachelor's Degree or equivalent.
2. Excellent organizational and communication skills (writing and interpersonal).
3. Proficient in Excel, Access, VBA script, preferred.
4. Detail oriented.
5. Strong basic math skills required.
6. Good interpersonal skills and ability to work independently.
Compliance Product Officer – ICG Fixed Income
About Citi
Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities are safeguarding assets, lending money, making payments and accessing the capital markets on behalf of our clients.
Citi’s Mission and Value Proposition explains what we do and Citi Leadership Standards explain how we do it. Our mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn and maintain our clients’ and the public’s trust by constantly adhering to the highest ethical standards and making a positive impact on the communities we serve. Our Leadership Standards is a common set of skills and expected behaviors that illustrate how our employees should work every day to be successful and strengthens our ability to execute against our strategic priorities.
Diversity is a key business imperative and a source of strength at Citi. We serve clients from every walk of life, every background and every origin. Our goal is to have our workforce reflect this same diversity at all levels. Citi has made it a priority to foster a culture where the best people want to work, where individuals are promoted based on merit, where we value and demand respect for others and where opportunities to develop are widely available to all.
The Compliance Product Officer – ICG Fixed Income role serves as a Credit Markets and Capital Markets Origination (“CMO”) compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm’s risk appetite and protect the franchise. In addition, engages with the ICRM Product and Function coverage teams, in order to partner to develop and apply CRM program solutions that meet the Credit Markets and CMO businesses and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to Credit/CMO and guidance on Credit/CMO rules/laws and interpretation on internal policies and procedures
Key Responsibilities:
Education Level:
Skills and Competencies
Chief Compliance Officer - Fintech (Cryptocurrency)
Pay Depot LLC
PAY DEPOT is hiring a full-time Chief Compliance Officer to join the senior management team and will be responsible for overseeing the compliance program and advising senior leadership on significant risk and compliance issues, maintaining a perspective that is independent, objective, and sensitive to the objectives of the organization. This position will be based at the PAY DEPOT’s corporate office in Brooklyn, New York
Chief Compliance officer will be primarily responsible for overseeing compliance with help by Compliance Analyst and ensuring compliance with laws, regulatory requirements, policies and procedures. Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program. Develops and periodically reviews and updates Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
Responsibilities:
Qualifications:
Experience
Experience:
Experience: