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.