Compliance Associate Job Description

Compliance Associate Job Description Template

Our company is looking for a Compliance Associate to join our team.

Responsibilities:

  • Policies/Procedures: The Associate will assist with the review and testing of the Firm’s policies and procedures;
  • Other Projects/Assignments: The Associate will be responsible for completing any other projects as assigned;
  • Portfolio Compliance: The Associate will review trade alerts to ensure compliance with client investment policy statements;
  • Partner with other departments to enhance governance processes in support of PSG;
  • Assist with compliance initiatives for other affiliated entities, as needed;
  • Assist in facilitating and administering PSG’s vendor risk program;
  • Review marketing materials and RFPs for regulatory compliance;
  • Assist with the preparation of regulatory filings for corporate entities and funds;
  • Draft responses to client questionnaires and checklists, and requests for proposals (RFPs) and requests for information (RFIs);
  • generally assisting Compliance Officers in the execution and administration of the regulatory Compliance Program;
  • maintaining compliance monitoring (and related) reports, including in respect of supervised personnel, compliance calendar, and others;
  • maintaining compliance monitoring and reporting systems, including the personal trading and certifications system, restricted trading list, and others;
  • assisting with the maintenance, organization and filing of compliance books & records.

Requirements:

  • Able to establish priorities, work on multiple assignments, and meet competing deadlines;
  • Proficient in Microsoft Word and Excel;
  • Bachelor’s Degree required;
  • Strong interpersonal skills and the ability to work in a dynamic team environment;
  • Demonstrated ability to stay current with, and analyze regulatory and compliance program requirements;
  • 0 to 3 years work experience;
  • Working knowledge of PowerPoint is a plus;
  • Demonstrated knowledge of consumer related lending and deposit regulations;
  • Strong attention to detail, with the ability to identify anomalies;
  • Ability to work effectively on a team, as well as independently;
  • Minimum of 2 years of regulatory compliance and/or bank supervision experience in an audit or testing role;
  • Bachelor’s degree or equivalent experience required;
  • Strong working knowledge of MS Word / MS Outlook / MS Visio / MS PowerPoint / MS Excel;
  • Ability to provide extraordinary service and further First Republic Bank’s culture and values;
  • Strong written and verbal communication skills.

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