What Does A Compliance Officer Do At Edward Jones
* Partner with applicable business areas and outside service providers to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations and internal policies and procedures.* Administer compliance program - conduct periodic oversight reviews of compliance policies and procedures pursuant to Rule 38a* of the Investment Company Act and Rule 206(4)* of the Investment Advisers Act and provide written documentation of the results.* Conduct the review and on-going oversight of sub-advisers and mutual fund third-party service providers.* Review prospectuses, SAI, periodic reporting, advertising, and other disclosures.* Develop and update compliance policies and procedures.* Provide ongoing compliance support to the funds and the advise.* Facilitate regulatory examinations of the firm's Fund and Adviser affiliates.* Series 7, 9, 10, 24, and 66 licenses required or must be obtained within 12 months of hire.* Minimum 3 years'experience in Compliance within the asset management or mutual fund industry, working with a regulatory body (e.g.* SEC, FINRA, or state regulator), or CPA/consulting firm.* Comprehensive understanding of industry rules and regulations pertaining to the Investment Advisers Act and Investment Company Act.* Ability to interpret regulations and apply to due diligence, oversight reviews, and development and review of policies and procedures.* Strong leadership and interpersonal skills are essential.* Resolve complex issues through interpretation and application of industry regulations and firm business practices.* Must have excellent written and verbal communication skills.* Bachelor's degree in Finance, Accounting, or other quantitative subject and/or MBA preferred.* Associated topics: advisory, assistant, automation, clerk, hipaa, immigration, legal assistant, patent, secretary i
What Does A Compliance Officer Do At Aramark
* Responsibilities include, but are not limited to the following:* Responsible for monitoring the guests and staff throughout the course of the event to ensure intoxication levels do not exceed a reasonable level.* Must be willing to approach guests and ask for identification.* Must promptly respond to all calls from the client to handle intoxicated guests.* Monitor the stands and associates to ensure all liquor laws are being adhered to by the staff.* Report any issues to the supervisor or manager and fill out all paperwork after every event.* Collect pre-event paperwork and insure accuracy* Other duties as assigned by management
What Does A Compliance Officer Do At Goldman Sachs & Co.
* Covering, sales and trading personnel.* Responsibilities include:* Providing advice on general trading rules and regulations and advising on real time trading issues* Coordinate with Business, Legal, Technology and/or Strategists on new desk initiatives.* Developing and drafting compliance policies and procedures, outlining Firm policies, regulations and best practices* Creating and implementing compliance training programs for business unit professionals* Interacting with regulators and industry groups to analyze new rules and rule changes and formulate practical solutions to industry-wide issues* Assist with regulatory and internal investigations and audits
What Does A Compliance Officer Do At Marsh & McLennan Companies
* Developing and executing the global program for Compliance monitoring; documenting program standards; and coordinating global teams to conduct Compliance monitoring.* Remediating Compliance monitoring findings, including enhancing policies and controls worldwide, developing targeted Compliance trainings, recommending management actions and reporting on remediation status.* Overseeing regulatory monitoring efforts to ensure compliance with new and evolving requirements; updating applicable policies and procedures as needed to address changes in law and regulation; collaborating with other LCPA colleagues to continuously enhance the regulatory control environment.* Developing and executing global cultural initiatives, including revising and updating the Code of Conduct, Compliance Policies and related training and communications.* Building Key Performance Indicators, dashboards and management reports that provide updates on the status of Compliance monitoring efforts and other initiatives; analyzing reporting metrics and highlighting emerging risks; developing thresholds and targets for reported metrics
What Does A Compliance Officer Do At Amtrust Financial Services
* Create a sustainable global program for sanctions compliance within our diversified insurance business groups* Providing guidance and support to business concerning responsibilities surrounding USA Patriot Act compliance, global sanctions compliance, including OFAC and anti-money laundering (AML) due diligenceDevelop, recommend and implement risk based approach around regulatory processes and controls to ensure business unit compliance with regulatory driven sanction lists, watch lists and AML rules and regulations* Daily review and investigation of any potential hits to OFAC (SDN) and other related sanctions list ensuring immediate handling and response* Conduct a regular audit of industry risks including new business types that may provide a new threat to the insurance company and provide recommendations to CCO regarding mitigation controls* Ensure timely implementation of new procedures in compliance with any change in laws and regulations and enhanced due diligence programs* Coordinate regulatory examinations related to BSA/USA Patriot Act, OFAC and related issues* Providing written and verbal communication on issues with management, the lines of business and Compliance units, performing and reviewing highly sensitive client and transaction search information, reporting, escalating and documenting results.* Conduct ad hoc due-diligence projects
