Compliance-Related Job Links
Institute for Compliance
PNC - Compliance Program Specialist
As a Compliance Program Specialist, you are a member of PNC's Enterprise Compliance organization. You will be based in Chicago, IL, or Pittsburgh, PA, where you will work in Bank Capital Markets Compliance. As a Compliance Program Specialist working on the swap dealer compliance program, you will provide compliance support to PNC's derivative products group and foreign exchange group. You will also assist in the planning and execution of compliance reviews to ensure controls are in place to meet regulatory requirements, and to identify opportunities to improve operational efficiency.
- Monitoring and targeted reviews of various policies and procedures and drafting memoranda summarizing findings
- Identifying operational and process efficiencies to improve monitoring and targeted reviews and analysis within Compliance
- Responding quickly and accurately to regulatory developments and requests for assistance;
- Assisting in the development and coordination of compliance projects, including assisting with oversight of the monitoring and targeted review program
- Researching, analyzing, and reporting on various swap dealer-related topics
- Working with lines of business to identify areas for training to foster a strong compliance culture
- Effectively implementing compliance policies, procedures, and related monitoring and targeted reviews to ensure compliance with all applicable swap dealer regulations and other related capital market products
- Serving as a resource for Bank Capital Markets Compliance team members, encouraging Bank Capital Markets Compliance team members, and promoting a positive atmosphere within the Bank Capital Markets Compliance team.
Required Education and Experience
- Roles at this level typically require a university / college degree, with 2+ years of relevant professional experience. In lieu of a degree, a comparable combination of education and experience may be considered.
- Strong writing skills, including familiarity with the Chicago Manual of Style; ability to communicate effectively verbally and in writing; detail oriented; and proficient at personal computer skills, including MS Word and Excel
- Exposure to foreign exchange or derivatives operations, regulatory requirements, or best practices applicable to regulatory compliance in a large financial institution, financial services group, federal derivatives regulator, or self-regulatory organization
- Basic knowledge of financial services industry, accounting, and internal controls
- Strong organizational and analytical skills
- Ability to work independently and perform moderately complex research
- Ability to build effective and collaborative peer-level relationships
- Effective time management and the ability to effectively balance multiple tasks
- Creativity and innovation in recommending improvements to departmental practices and processes.
Students interested need to apply through the Career Services Symplicity page.
JP Morgan Chase KYC Officer - Commercial Officer
The CBCO KYC Organization is seeking a KYC Officer who will partner with Bankers and AML/KYC Operations to ensure all client KYC records are compliant with regulatory standards, and will ensure high quality and timely completion of all client-level due diligence requirements at inception and renewal of client relationships. The final officer title and job grade is at the discretion of the firm and will be discussed at the time of offer. It may be different than what is listed on the requisition based on candidate experience level.
- Manage client and partner expectations and understanding in a consultative way
- Exhibit ownership of KYC/AML experience and client experience
- Ensure KYC/AML deliverables are met and hold internal partners accountable
- Demonstrate ongoing understanding of KYC/AML processes and work through delays and/or inefficiencies
- Manage operational risk effectively through diligent awareness of risks in our processes
- Escalate appropriate risk items and drive issues to closure
- Manage client risk effectively by supporting the banker in client selection process
- Independently manage renewal cycle of DDFs with Relationship Management Partnership
- Accountable for timely portfolio management while maintaining quality expectations
Core Required Qualifications
- Ability to properly identify AML risks and demonstrates a solid grasp of AML/KYC policy
- Strong verbal and written communication skills
- Excellent time management and organizational skills
- Strong analytical and problem solving skills
- Some travel may be required (less than 25%) to support various client coverage teams
- BA/BS degree
- Minimum 2 years relevant experience in AML/KYC, Risk Management, Security, Law Enforcement specific to fraud and illicit money movement
- Experience in financial services, if possible Corporate/Commercial Banking
- Working knowledge of risk factors that may impact specific products and industries
- Ability to multi-task effectively and leverage internal resources
- Excellent attention to detail
- Strong client focus and ability to partner with various internal groups and client coverage
- Independent, self-motivated with an ability to adapt and be flexible in a team environment
- Previous credit training or underwriting experience
- Ability to navigate complex client relationships and product usage
INTERESTED CANDIDATE SHOULD APPLY HERE
Senior Compliance Analyst (4+ Month Contract): Bank of Montreal
The Bank of Montreal is seeking a Senior Compliance Analyst to support the Volcker Rule implementation activities within the Corporate Compliance Group of the Bank. The successful candidate will be accountable to assist the Corporate Compliance Team Lead with the implementation, maintenance and evolution of the regulatory governance system used by key stakeholders within the Corporate Support Areas Technology & Operations ("T&O") group of the Bank of Montreal. Key elements of the project plan include interacting with regulatory requirements mapped to Technology and Operations teams, driving the completion of Regulatory Compliance Risk Assessments, and leading the development and documentation of Monitoring and Testing programs designed to confirm regulatory compliance or identify issues of non-compliance.
- 3+ years' experience in the Financial or Securities industry related with Compliance and/or corporate support divisions
- Excellent verbal and written communication skills and ability to interact heavily with internal stakeholders
- Volcker Rule knowledge
- Good understanding of regulatory risk management and related control frameworks and practices
- Knowledge of industry rules and regulations across Canada and the United States from a Technology and Operations perspective
- Strong project management skills
Interested applicants should send a resume and cover letter to Matt Waksmundzki.
Chief Compliance Officer
Wegman Partners legal recruiters are seeking a Chief Compliance Officer with at least 10 years of experience to manage a team of three compliance professionals responsible for testing, registrations, exam management and regulatory development functions. The Chief Officer will be responsible for the company's mutual funds as well as their common and collective funds. A successful candidate will have extensive knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Interested applicants should contact Bob Smith.
Compliance Officer: Brokerage Consultants, Inc.
BCI is seeking a compliance professional with at least 5 years' experience in Securities Compliance. Interested candidates should contact Zach Stierhoff.
- Administer Public Securities compliance programs to ensure compliance processes/procedures are integrated and aligned with business processes
- Evaluate/review existing programs/policies/procedures based upon changed requirements
- Review marketing materials/advertising/disclosures/notices/compliance-related regulatory reports and forms for compliance with rules/regulations. Maintain database of approved materials for use in presentations/client meetings
- Prepare client-mandated compliance reports/certifications
- Prepare various SEC materials/forms
- Monitor REIT-ownership charter limitations
- Work with Public Securities and Compliance teams in interpreting client investment guidelines, resolving compliance issues, researching client guidelines/security issues, and analyzing post-trade compliance results
- Review client restriction guidelines and update software with information for new accounts/revisions/updates to existing accounts
- Monitor procedures/practices of personnel for compliance with contractual provisions of client contracts/other agreements
- Perform periodic tests of procedures and/or transactions to monitor effectiveness of the compliance programs
- Prepare/reconcile various documents/reports including EDGAR filings/client compliance reports/proxy voting reports
- 5+ years' experience in Securities Compliance
- Bachelor's degree in Business, Finance or Accounting preferred
- Expert-level knowledge in the rules/regulations associated with the Securities Exchange Commission (SEC), the Securities Act Of 1933, the Securities Exchange Act of 1934, and the Investment Company and Investment Advisers Acts of 1940
- Strong attention to detail and communication skills
- Intermediate Microsoft Word/PowerPoint/Excel skills
- Basic knowledge of derivatives and UCITS funds preferred but not required
- Global investment expertise preferred but not required