Compliance Analyst Jobs At Stifel Financial

WHAT IS THE OPPORTUNITY?This position is responsible for fiduciary analysis, monitoring, analyzing, and escalating matters of regulatory or legal initiatives, requirements, issues or concerns related to Conflicts of Interest (COI) so that timely and necessary enhancements to the Bank's Compliance Program can be developed and implemented within statutory timeframes utilizing sound and current compliance industry standards and practices. Responsible for the review and enhancement of the Bank's COI Program policies and procedures, including the development of related policy position documents. As assigned, collaborates with Compliance colleagues and business line management to conduct risk assessments in order to recommend enhancements to current policy and procedures. May supervise one or more professional staff. To provide support in the development, implementation and testing of modification and enhancements of COI transaction monitoring models. Works with the Compliance Training Officer to ensure that ongoing management of the training content within the Bank's COI Training program is timely, accurate, and responsive in meeting job-specific compliance responsibilities throughout the Bank's various lines of business and job functions. Plays a key role as an internal consultant to colleagues throughout the organization related to the Bank's implemented COI Program. What you will do Monitor and escalate COI issues and concerns of impact to the industry within the regulatory and legal environment to enable the Bank to respond to changes, initiatives and statutory requirements in the areas of COI in City National Bank and third-party investment platform to assess any potential customer harm resulting from COI. Identify current "financial interests", obtain and review information relating to investments and other applicable activities of board members, senior officers, and other appropriate personnel. Develop, execute and monitor a remediation plan for all identified conflicts, including customer harm as applicable; incorporate a legal opinion supporting the remediation plans, including any identified customer harm as applicable. Present results of fiduciary analysis and management's remediation plans to the Board for approval. Conduct/oversee/facilitate First Line Unit (“FLU”) key control testing to new key controls associated with changes in the above remediation. Conduct/oversee/facilitate 2LOD Risk (ICGO) review and challenge of completion of VOL 1 milestones. Conduct/oversee/facilitate 2LOD Compliance review and challenge of completion of VOL 1 milestones Collaborate with Internal Audit (IA) validation of the effectiveness and sustainability of the applicable corrective actions. Assists in the ongoing and annual review and enhancement of the Bank's COI Program to help ensure that policies and procedures comply with legal and regulatory requirements and industry best practices. In conjunction with the Compliance Training Officer, develops, implements, and manages the Bank's COI compliance training program, including partnering with business lines and management to ensure timely and effective updates to COI training content that meet job-specific COI compliance responsibility. Supervises staff conducting risk assessments and performs periodic risk assessments of overall business processes to identify COI compliance gaps and potential exposure. Analyzes and evaluates COI compliance risks and recommends changes to policies and procedures. Partners with business lines in the development of new and/or updated policy and procedure related to COI Bank wide as well as internally. Acts as a COI regulatory consultant throughout the Bank. Communicates and escalates (as assigned) identified COI operational concerns to the appropriate level of management. Identifies and addresses compliance-training needs by collaborating with business areas and the Compliance Training and Human Resources Training areas. In conjunction with the Compliance Training Officer, is responsible for maintaining the COI area of the Compliance Education Website. Partners with business units to remediate compliance findings identified in internal and external examinations. Maintains up-to-date knowledge of regulatory and legal requirements and industry best practices. Participates in and completes bank-wide projects. Maintains up-to-date knowledge of Bank policies and procedures. Integrates activities with other departments to accomplish common goals. Serves as resource to internal and external customers; ensures quality customer service and effective and efficient operational support. Applies both technical and general business knowledge to resolve the most complex issues in assigned function. Performs other duties as assigned or requested. Must-Have* Minimum of 7 years experience in a Compliance or Risk role required. Minimum of 7 years experience with Compliance or Risk documentation (i.e. risk assessments, project plans, testing memoranda). Skills and Knowledge Previous Management experience preferred. Proficient with Microsoft Office Suite (e.g., Word, Excel, PowerPoint, Outlook) Bachelor's degree with designation in business or finance or equivalent experience preferred. Ability to perform functional duties and related positions with minimal supervision. Ability to interact effectively with all levels of Bank personnel and customers. Excellent verbal and written communication skills; excellent interpersonal and customer service skills. Knowledge of regulatory requirements with specific emphasis on COI and general bank policies and procedures. Ability to analyze complex situations and provide guidance, makes recommendations, and/or escalates issues appropriately. Ability to handle problem situations with colleagues and clients effectively. Ability to supervise and coach staff. Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs. For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser. For Wealth Management Compliance roles, experience working within a Compliance Investment Management role. CompensationStarting base salary: $111,408 - $189,738 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions. *To be considered for this position you must meet at least these basic qualifications The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job. Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks. ABOUT CITY NATIONAL City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with $92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer $96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than $11 million in charitable contributions to nonprofits that support the communities it serves. *City National Bank does business in Miami and the state of Florida as CN Bank. For more information about City National, visit cnb.com. EQUAL OPPORTUNITY EMPLOYER & REASONABLE ACCOMMODATION City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct. READ MORE If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process. Please contact us via email or leave a message at **************. These contact methods are dedicated to applicants whose disability prevents them from successfully applying online. Only messages left for this purpose will be returned. Responses may take up to two business days.

This position is placed within the Advisory group of the Financial Security team. The position's main responsibilities are centered on the following: reviewing and validating high risk KYC files, and providing AML and/or sanctions related guidance to the Bank's staff on proposed transactions. He/she is expected to have knowledge of current anti-money laundering regulations, policies and requirements as per the Bank Secrecy Act, and the USA Patriot Act. Key Responsibilities: Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. Review and issue regulatory guidance to Bank staff on proposed activities and transactions. Assist with the analysis of updates in regulations and/or policies to ensure that the Bank is compliant with US regulations, as well as the Bank's policies and procedures. Assist with the implementation of any new requirements that come as a result of new regulations or policies and procedures. Provide guidance to Front Office and Support staff on AML specific queries concerning proposed customers and/or transactions. Assist with analysis of data for the Bank's BSA/AML and OFAC Risk Assessments. Management and Reporting: The position reports directly to the Head of Advisory - Financial Security. Key Internal Contacts: The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Compliance personnel, and IT support. Key External Contacts: The employee may have occasion to interact with external auditors and/or regulators during exams. KNOWLEDGE AND SKILLS Qualifications/Education Required: College Degree Experience Required: 5-10 years CAMS Certification preferred Competencies: Knowledge of US AML and OFAC regulations Knowledge of International AML and Sanctions regulations preferred Skills & Knowledge Requirements desired: IT Knowledge of Payment systems IT Knowledge of AML tools

The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm's policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible. This is a hybrid role, 2 days weekly in office. What you will do: Respond to and address inquiries from field and home office personnel to assure compliance with the applicable laws, regulations and firm policy and procedures. Address emails and phone calls coming into the Compliance Inbox and Compliance Hotline Review and process client accommodations requested by field partners. Monitor industry publications/notifications for regulatory notices and new rules. Assist with updating compliance policies and procedures manuals. Provide oversight of surveillance reports to ensure actionable items are addressed. Review and acknowledge requests for Private Securities Transactions Liaison for Security and Vulnerable Adult Incidents with our field and internal partners Review Office Sharing arrangements for the firm. Provide secondary review for regulatory responses. Identify and maintain risk areas for annual compliance training. Monitor and test firm policies and procedures based on risk levels to the firm. Perform 3120 and ad hoc testing on specific Compliance and firm functions. Provide occasional training to field and home office personnel on compliance topics. Review and analyze individuals seeking to affiliate with the firm. Input cases and documentation into respective firm approved tools. Keep abreast of new products, technologies and their applications and compliance implications. Primary contacts for this position are: Designated Principals and Registered Representatives in the field Internal partners such as Supervision, Resource Center, and Operations Project work as needed What you need to have: 1-3 years of BD Compliance experience Series 7 and 24 required. Regulations and interpretive guidance Industry Best Practices Problem resolution Thorough analysis Excellent written and verbal communication Interpersonal relations Review and analyze cases from a practical, policy and regulatory framework. Provide accurate and thorough written documentation. Manage several tasks proactively. Work well independently as well as on a team. Manage workloads and help team as needed HS Degree at minimum What is nice to have: Series 4 and/or 53 preferred MS office including Excel, Word, PowerPoint, and Salesforce (preferrable) Bachelor's degree preferable Compensation: The base annual salary range for this role is $75,000 to $85,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. What we give you in return: Not many teams can say that they support people's dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. Easy access to mental health benefits to meet our team members and their families where they are. 20+ days of paid time off (PTO), paid holidays, 1 paid wellness day and 1 days of paid volunteer time off (VTO) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. Paid parental leave to support all team members with birth, adoption, and foster. Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology. "Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note : this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm's policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible. This is a hybrid role, 2 days weekly in office. What you will do: Respond to and address inquiries from field and home office personnel to assure compliance with the applicable laws, regulations and firm policy and procedures. Address emails and phone calls coming into the Compliance Inbox and Compliance Hotline Review and process client accommodations requested by field partners. Monitor industry publications/notifications for regulatory notices and new rules. Assist with updating compliance policies and procedures manuals. Provide oversight of surveillance reports to ensure actionable items are addressed. Review and acknowledge requests for Private Securities Transactions Liaison for Security and Vulnerable Adult Incidents with our field and internal partners Review Office Sharing arrangements for the firm. Provide secondary review for regulatory responses. Identify and maintain risk areas for annual compliance training. Monitor and test firm policies and procedures based on risk levels to the firm. Perform 3120 and ad hoc testing on specific Compliance and firm functions. Provide occasional training to field and home office personnel on compliance topics. Review and analyze individuals seeking to affiliate with the firm. Input cases and documentation into respective firm approved tools. Keep abreast of new products, technologies and their applications and compliance implications. Primary contacts for this position are: Designated Principals and Registered Representatives in the field Internal partners such as Supervision, Resource Center, and Operations Project work as needed What you need to have: 1-3 years of BD Compliance experience Series 7 and 24 required. Regulations and interpretive guidance Industry Best Practices Problem resolution Thorough analysis Excellent written and verbal communication Interpersonal relations Review and analyze cases from a practical, policy and regulatory framework. Provide accurate and thorough written documentation. Manage several tasks proactively. Work well independently as well as on a team. Manage workloads and help team as needed HS Degree at minimum What is nice to have: Series 4 and/or 53 preferred MS office including Excel, Word, PowerPoint, and Salesforce (preferrable) Bachelor's degree preferable Compensation: The base annual salary range for this role is $75,000 to $85,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. What we give you in return: Not many teams can say that they support people's dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. Easy access to mental health benefits to meet our team members and their families where they are. 20+ days of paid time off (PTO), paid holidays, 1 paid wellness day and 1 days of paid volunteer time off (VTO) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. Paid parental leave to support all team members with birth, adoption, and foster. Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology. "Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note : this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

The Compliance Officer will develop relationships with bank departments and/or subsidiaries and advise on changes to statutes or regulations that affect their departments. Directs organizational policies and programs designed to ensure compliance with BSA, USA Patriot Act, AML and other regulations. Develops and implements strategies for minimizing loss or reducing risk. The Compliance Officer will also be a liaison with federal and state examiners and outside auditors to ensure compliance issues are adequately addressed. Responsibilities and Duties: Reviewing and revising, as necessary, all bank, insurance and RIA compliance policies consistent with the compliance framework and compliance risk position Manages daily activities for monitoring customer accounts and researching transactions to identify suspicious activity in association with the Bank Secrecy Act (BSA), USA Patriot Act, and other Anti-Money Laundering (AML) regulations. Reporting regularly to the Audit committee on results, issues and upcoming items for discussion Monitoring, maintaining and developing compliance and CRA programs Promoting consistency of approach to compliance with US banking laws across all businesses by interfacing with the leadership and employees and providing ways to minimize the banks risk Develop and maintain processes to measure and report on the effectiveness of the banks compliance testing measures Creating and implementing a business strategy for improving compliance risk through monitoring trends, educating employees and designing controls Consult with management in the development of corporate policies and procedures to ensure compliance with relevant laws and regulations. Maintaining the policies and procedures for our SEC regulated business Working with auditors and examiners during regulatory compliance examinations Managing relationships internally and externally that will enhance knowledge Carries out assignments discreetly, effectively and efficiently in sensitive and confidential circumstances. Ensures continuing development of professional relationships with management and colleagues. Other duties as assigned. Skills: Active Listening Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times. Speaking Talking to others to convey information effectively. Reading Comprehension Understanding written sentences and paragraphs in work related documents. Mathematics Using mathematics to solve problems. Critical Thinking Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems. Coordination/Cooperation Adjusting actions in relation to others actions. Ability to work with co-workers and other staff with tact and courtesy without compromising management. Judgment/ Decision Making Exhibits sound and accurate judgment; Supports and explains reasoning for decision; Makes timely decisions. Manage time effectively Focus on deadlines and prioritization. Excellent customer service and sales skills and ability to deal with clients, in varying situations, enthusiastically and professionally. Ability to work well in a team environment that promotes inclusiveness and communication among team members with a constructive, respectful attitude. Flexibility/Adaptability-Able to deal with constant change, delays, or unexpected events. Highly adaptable, positive, resilient, and open to new ideas. Able to effectively prioritize and juggle multiple concurrent projects. Education and Experience Qualifications: Bachelors degree or higher in related field of study. Minimum 7 years relevant experience in complex banking environment. Management background and demonstrated leadership excellence required. Experience with external examinations for community banks required CAMS, CRCM or related certification preferred Functional knowledge of SEC regulations and compliance requirements desired

Job Title: Research Compliance Officer Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945. Cantor Fitzgerald & Co. is a preeminent investment bank serving more than 5,000 institutional clients around the world, recognized for its strengths in fixed income and equity capital markets, investment banking, SPAC underwriting, PIPE placements, commercial real estate, and for its global distribution platform. Capitalizing on the firm's financial acumen and technology prowess, Cantor's portfolio of businesses also includes Prime Brokerage, Asset Management, and other businesses and ventures. For 79 years, Cantor has consistently fueled the growth of original ideas, pioneered new markets, and provided superior service to clients. Cantor operates trading desks in every major financial center globally, with offices in over 30 locations around the world. As one of the few remaining private partnerships on Wall Street, Cantor has the distinct ability to focus on long-term value creation and solid relationship building. Our structure allows us to respond quickly to client needs, develop solutions that address complex challenges, avoid the limitations of bureaucracy, and attract talented individuals who are driven to succeed. As part of Compliance, you will be at the center of keeping Cantor strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. Research Compliance, a line of business advisory team within Compliance, is seeking a highly motivated individual for a VP role in our New York office. In this role you will provide compliance guidance and support to the US Research team, working closely with Investment Banking, Capital Markets, Markets and Control Room Compliance teams. You will also partner with Legal, and the Firm's control functions to assess risk, create pragmatic solutions, and develop common standards Responsibilities: Provide day-to-day Compliance advisory services to the firm's Global Equity Research business, which includes Equity Research products and services, with specific focus on research independence, conflicts of interest, material non-public information and reputational risk Create and maintain policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices; and assist in development and delivery of training to support compliance with relevant policies Advise the business on how to meet new and existing regulatory obligations, evaluate new and existing business processes, systems and controls to ensure compliance with regulatory requirements Assist in completing Compliance Risk Assessments and review results with senior management Identify and escalate issues through formal escalation channels and facilitate timely and effective resolution; and assist in development and execution of monitoring activities for the Global Research business Collaborate with business and other control functions to gather information and review responses to regulatory examinations, audits, compliance tests, investigations, inquiries, and other information requests Independently manage projects necessary to support initiatives both within Global Research Compliance and the broader Compliance Department; and interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies Qualifications: Strong Compliance experience in an investment bank (preferably line of business advisory, ideally Research Compliance) Strong working understanding of rules, regulations, and industry practices pertaining to Research, information barriers and the Investment Banking business Confident with excellent communication skills, written and oral, and strong interpersonal skills with the ability to establish credibility with business partners Excellent analytical and problem-solving skills Motivated and proactive with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments Ability to work effectively both in a team environment and independently Educational Qualifications: Bachelor's Degree required Will be expected to take and pass FINRA Securities Industry Essentials exam within 6 months Hybrid Working - We are currently operating a hybrid model for our shared services employees (including this role). We anticipate continuing these arrangements for the foreseeable future with periodic review. Salary: $125,000 - $150,000 The actual base salary will be determined on an individualized basis taking into account a wide range of factors including, but not limited to, relevant skills, experience, education, and, where applicable, licenses or certifications held. In addition to base salary and a competitive benefits package, this position may be eligible for additional types of compensation including discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity, etc.).

The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm's policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible. This is a hybrid role, 2 days weekly in office. What you will do: Respond to and address inquiries from field and home office personnel to assure compliance with the applicable laws, regulations and firm policy and procedures. Address emails and phone calls coming into the Compliance Inbox and Compliance Hotline Review and process client accommodations requested by field partners. Monitor industry publications/notifications for regulatory notices and new rules. Assist with updating compliance policies and procedures manuals. Provide oversight of surveillance reports to ensure actionable items are addressed. Review and acknowledge requests for Private Securities Transactions Liaison for Security and Vulnerable Adult Incidents with our field and internal partners Review Office Sharing arrangements for the firm. Provide secondary review for regulatory responses. Identify and maintain risk areas for annual compliance training. Monitor and test firm policies and procedures based on risk levels to the firm. Perform 3120 and ad hoc testing on specific Compliance and firm functions. Provide occasional training to field and home office personnel on compliance topics. Review and analyze individuals seeking to affiliate with the firm. Input cases and documentation into respective firm approved tools. Keep abreast of new products, technologies and their applications and compliance implications. Primary contacts for this position are: Designated Principals and Registered Representatives in the field Internal partners such as Supervision, Resource Center, and Operations Project work as needed What you need to have: 1-3 years of BD Compliance experience Series 7 and 24 required. Regulations and interpretive guidance Industry Best Practices Problem resolution Thorough analysis Excellent written and verbal communication Interpersonal relations Review and analyze cases from a practical, policy and regulatory framework. Provide accurate and thorough written documentation. Manage several tasks proactively. Work well independently as well as on a team. Manage workloads and help team as needed HS Degree at minimum What is nice to have: Series 4 and/or 53 preferred MS office including Excel, Word, PowerPoint, and Salesforce (preferrable) Bachelor's degree preferable Compensation: The base annual salary range for this role is $75,000 to $85,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. What we give you in return: Not many teams can say that they support people's dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. Easy access to mental health benefits to meet our team members and their families where they are. 20+ days of paid time off (PTO), paid holidays, 1 paid wellness day and 1 days of paid volunteer time off (VTO) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. Paid parental leave to support all team members with birth, adoption, and foster. Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology. "Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note : this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm's policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible. This is a hybrid role, 2 days weekly in office. What you will do: Respond to and address inquiries from field and home office personnel to assure compliance with the applicable laws, regulations and firm policy and procedures. Address emails and phone calls coming into the Compliance Inbox and Compliance Hotline Review and process client accommodations requested by field partners. Monitor industry publications/notifications for regulatory notices and new rules. Assist with updating compliance policies and procedures manuals. Provide oversight of surveillance reports to ensure actionable items are addressed. Review and acknowledge requests for Private Securities Transactions Liaison for Security and Vulnerable Adult Incidents with our field and internal partners Review Office Sharing arrangements for the firm. Provide secondary review for regulatory responses. Identify and maintain risk areas for annual compliance training. Monitor and test firm policies and procedures based on risk levels to the firm. Perform 3120 and ad hoc testing on specific Compliance and firm functions. Provide occasional training to field and home office personnel on compliance topics. Review and analyze individuals seeking to affiliate with the firm. Input cases and documentation into respective firm approved tools. Keep abreast of new products, technologies and their applications and compliance implications. Primary contacts for this position are: Designated Principals and Registered Representatives in the field Internal partners such as Supervision, Resource Center, and Operations Project work as needed What you need to have: 1-3 years of BD Compliance experience Series 7 and 24 required. Regulations and interpretive guidance Industry Best Practices Problem resolution Thorough analysis Excellent written and verbal communication Interpersonal relations Review and analyze cases from a practical, policy and regulatory framework. Provide accurate and thorough written documentation. Manage several tasks proactively. Work well independently as well as on a team. Manage workloads and help team as needed HS Degree at minimum What is nice to have: Series 4 and/or 53 preferred MS office including Excel, Word, PowerPoint, and Salesforce (preferrable) Bachelor's degree preferable Compensation: The base annual salary range for this role is $75,000 to $85,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. What we give you in return: Not many teams can say that they support people's dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship. Easy access to mental health benefits to meet our team members and their families where they are. 20+ days of paid time off (PTO), paid holidays, 1 paid wellness day and 1 days of paid volunteer time off (VTO) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities. 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years. Paid parental leave to support all team members with birth, adoption, and foster. Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more. Employee Assistance Program (EAP), LifeLock, Pet Insurance and more. About Cetera Financial Group: Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology. "Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities. Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law. Agencies please note : this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office! Responsibilities: Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks Maintain business line and support function policies and procedures addressing compliance requirements, including annual updates and addressing of gaps and self-identified issues Design, execute and report on Compliance controls for the business lines and support functions Support business lines/support functions with annual Compliance Risk Assessment and any remediation efforts thereof Implement Compliance policies and procedures in the business line s/support functions

As a CIB Bank Compliance Officer, you will play a critical role in identifying, assessing, and mitigating regulatory risks within BBVA Corporate and Investment Banking (CIB) in the US. You will assist the US Head of Bank Regulatory Compliance in supervising a comprehensive, sustainable, compliance framework of meeting regulatory requirements and mitigating risk management. If you thrive in a dynamic environment and possess strong analytical skills coupled with a proactive approach in your work, we want you to join our team. Responsibilities: • Conduct monitoring and supervision of potential regulatory risks within the CIB business units. • Implement compliance risk controls to address regulatory requirements and industry best practices. • Assist with compliance policies and procedures to ensure adherence to regulatory requirements. • Review and report existing key regulatory controls to ensure their effectiveness and recommend enhancements where necessary. • Prepare and distribute comprehensive reports on KPCs, including transactions analysis, impact assessment, and remedial actions taken. • Liaise with internal stakeholders in the US and Madrid as necessary to address and resolve reporting incidents. • Stay abreast of regulatory developments, guidelines, industry trends, and emerging risks affecting the CIB sector. • Assist with new hirer and annual training to CIB staff Qualifications: • Bachelor's degree in Business Administration, Finance, or related field. • Minimum of 5 years of experience in regulatory risk management within the financial services industry, or experience in Anti-boycott, Trade Financing, or Corporate and Investment Banking. • Excellent analytical and financial skills. Must have EXCEL pivot /functionality proficiency. • Effective communication skills with the ability to articulate complex concepts in writing • Proven ability to work collaboratively in a cross-functional team environment. • Strong attention to detail with the ability to prioritize and manage multiple tasks and projects • Self-starter, able to work independently, flexible and can navigate a small organization. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. With respect to this position in our New York Office, the expected base salary ranges from $140,000 to $160,000. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus. *Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions

HomeXpress - a distinguished Non-QM Mortgage Lender. Join our growing team and be part of the Top Non-QM Lender in the Business. We are known for closing wholesale mortgage loans with speed, ease, and convenience. Licensed in 46 States, we provide brokers with a full suite of mortgage products, including VA, FHA, & FHLMC. If you have a service first mentality and thrive in a fast-paced environment, HomeXpress is the place for you. Join us as we continue to grow and expand our business to the Non-Delegated Correspondent Channel! PRIMARY FUNCTIONS: Compliance Analyst III supports development and implementation of compliance programs, policies, procedures, and reporting in collaboration with the Compliance Officer and Compliance Department Manager. Compliance Analyst III utilizes established internal controls and auditing systems to identify, detect, and correct noncompliance. ESSENTIAL DUTIES AND RESPONSIBILITIES: NMLS/Licensing Maintenance (Home Office, Branch and MLO); NMLS Quarterly Mortgage Call Reports; Annual Reports (Secretary of State and Financial Division Reports); Annual HMDA Loan Application Register, including periodic data scrubbing; Fair Lending Analytics and Reporting; Federal and State Disclosure and Closing Documents Maintenance, including periodic reviews of regulatory and statutory requirements for content, signature, and data fill-ability functionality; Responses/Rebuttals of due diligence exceptions in support of the Post-Closing Department; Tasks assigned by Compliance Officer. Compliance Analyst III provides subject matter support to management and staff with respect to these six primary mortgage compliance regulations: Reg-Z Truth in Lending Act Reg-X Real Estate Settlement Procedures Act Reg-B Equal Credit Opportunity Act Reg-C Home Mortgage Disclosure Act Reg-P Privacy of Consumer Financial Information Reg-H SAFE Mortgage Licensing Act (State License and Bureau Registration System) DESIRED PERSONAL CHARACTERISTICS: Detail oriented and committed to the highest quality Self-Starter with positive Can-Do attitude Works well under pressure and relishes the responsibility that comes with the job Problem solving and analysis Communication proficiency An open-minded individual that embraces change and innovation JOB REQUIREMENTS: CRCM or CMCP Certification (or current enrollment in certification programs for one or both) EDUCATION: Bachelor's degree or equivalent EXPERIENCE: 3 Years Regulatory Compliance Experience 5 Years Mortgage Industry Experience PHYSICAL REQUIREMENTS: This position is in an office setting with computer and general office equipment. The position requires the ability to move freely around within the department and other department locations

Perform daily management responsibilities in complying with the branch's Sanctions/ Watch lists and OFAC Program (“OFAC”). Direct a team of BSA/OFAC Compliance professionals who have responsibility for the functions associated with OFAC compliance; ensures functions are performed accurately, thoroughly and in accordance with the timeframes required by the regulators. Maintain current knowledge of regulations and compliance requirements of financial institutions. Other duties may be assigned by management. Primary Duties and Responsibilities: • Coordinate and monitor day-to-day OFAC compliance. • Manage a team of BSA/OFAC Compliance professionals in all aspects of the OFAC compliance program and managing the branch's adherence to the OFAC and its implementing regulations. • Carry out the OFAC compliance program and ensuring that employees adhere to the branch's OFAC policies, procedures and processes. • Ensure that the branch maintains an effective OFAC internal control structure, including OFAC-related transaction monitoring and regulatory reporting. • Ensure that appropriate personnel are trained in applicable aspects of OFAC. • Regularly apprising the Director of Branch BSA Compliance of ongoing compliance with the OFAC Program. • Monitoring of all regulatory OFAC changes, ensuring communication of new requirements and assisting the business and infrastructure areas in creating/revising policy and process to meet new requirements. • Maintain a current knowledge of OFAC laws and regulations and applicable regulatory guidance. • Maintain statistics and other information necessary to ensure that the OFAC compliance department has adequate information to report to Senior Management regarding the adequacy and effectiveness of the Branch's written OFAC program and procedures and the actual implementation of the OFAC program. • Respond to complex and detailed questions from Branch personnel regarding OFAC. • Other duties or projects may be assigned by management. Qualifications: • Bachelor's degree in Business Administration or equivalent professional experience. • 6+ years previous working experience within the BSA or OFAC Compliance function. • Fully knowledgeable of OFAC regulations • Previous experience leading a team in detecting, investigating, analyzing and reporting regulatory violations and transactions. • CAMs certification preferred. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. With respect to this position in our New York Office, the expected base salary ranges from $125,000 to $160,000. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus. *Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions

Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's reputation and mitigating compliance risks. Key Responsibilities: Regulatory Compliance: Ensure the firm complies with all applicable Client and SEC regulations, including reporting and disclosure obligations. Policy Development: Develop, implement, and maintain compliance policies and procedures tailored to the broker-dealer environment. Risk Assessment: Conduct regular risk assessments and compliance audits to identify and mitigate potential compliance risks. Training and Education: Design and deliver compliance training programs for employees to promote a culture of compliance and awareness of regulatory requirements. Monitoring and Reporting: Oversee monitoring activities and prepare reports for senior management and regulatory authorities as needed.

About the job Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Responsibilities Monitor trading activities to ensure compliance with relevant regulations, laws, and policies Collaborate with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies Develop and implement policies and procedures to ensure compliance with regulatory requirements. Provide training and guidance to internal stakeholders on regulatory requirements and internal policies. Conduct compliance risk assessments and audits of internal policies. Investigate and resolve compliance issues and escalate, as necessary. Keep abreast of changes to regulatory requirements and make necessary updates to internal policies and procedures. Interface with external regulatory bodies and respond to regulatory inquiries and requests for information. Qualifications Bachelor's degree in business administration, Finance, Legal or related field 4+ years of experience in public equities trading compliance. Series 7 required, Series 24 preferred or attained upon hiring. Strong knowledge of FINRA and SEC rules and regulations related to public equities trading. Experience using Trillium software for trade compliance management. Experience developing and implementing public equities trading compliance policies and procedures. Excellent written and verbal communication skills Ability to work independently and as part of a cross-functional team

* Assist the Director of Compliance with developing, administering and maintaining the Bank's Compliance Management Program in order to ensure compliance with all consumer protection laws as well as state and federal regulations. * Supervise compliance professionals which include managing, training, quality control, and overseeing work of applicable staff. Responsible for performance and coaching of staff, development of team goals and objectives and ensuring performance targets are met. * Perform targeted compliance reviews, control enhancement projects, and risk mitigation initiatives. Establish those activities subject to coverage, evaluate their significance, and assess the degree of inherent risk of the activity. * Develop and update risk assessments, including the design and execution. * Serve as the subject matter expert for the bank's lines of business. * Evaluate and monitor consumer complaints to identify trends, root cause, regulatory impact, sufficiency of Bank policy and procedures as well as internal change(s) necessary to mitigate future risks. * Lead applicable work groups to assure effective regulatory change management while partnering with affected business units. * Interpret regulatory requirements, legislative changes, and effectively communicate the potential impact to affected business lines. Conduct gap analysis for associated business units. * Review regulatory risks associated with new Business initiatives, new products/services and process changes identifying conditions required to comply with applicable rules and regulations. * Prepare comprehensive reports and summaries for management, applicable committees and the board which identifies significant developments, vulnerability/risks, testing results, key risk indicators, root cause, and initiatives underway. * Advise the line of business on options and alternative methods of remediating regulatory compliance issues identified through self-assessments, compliance monitoring, compliance testing, Internal Audits and regulatory examinations. * Develop and manage strong working relationships with the business units. * Collaborate with and assist the First Line of Defense in the identification and documentation of relevant monitoring activities as well as achieving regulatory compliance. * Oversee the work performed by staff for accuracy, completeness, relevancy, and adherence to standards. * Train staff on regulations, risk assessments, project management, internal controls, testing tools and techniques, compliance standards, processes and procedures. * Review marketing materials as well as Bank forms and disclosures to ensure compliance with applicable rules and regulations. * Partner with business liaisons and compliance counterparts to maintain open communication and successful working relationships. * Research regulatory issues and respond to compliance questions from Bank personnel, using legal and regulatory reference materials, regulatory agencies, Bank legal counsel and professional associations/organizations, as appropriate. * Travel as necessary. * Other duties as assigned. Physical Requirements: * Must be able to remain in a sitting or standing in stationary position for extended periods of time * Require repetitive motions of the hands and wrist related to writing and typing on an electronic keyboard * Operate a computer and other office machinery for extended periods of time * Ability to lift, push or pull up to 25 pounds FCBI is an equal opportunity employer. Requirements* Bachelor's degree in a related field or an equivalent combination of education and experience, required. * Seven (7) or more years' experience in financial services required. * Minimum of five (5) years' previous bank compliance experience required. * Strong foundation and business experience of compliance regulations affecting lending, deposit and operational areas of a financial institution and industry/"best practices" approaches. * Exemplary analytical, technical, and complex problem solving skills with strong attention to detail. * Strong leadership capabilities and organizational skills: ability to effectively prioritize tasks, follow up, and produce consistently accurate work in adherence to deadlines. * High ethical standards, excellent judgement, logic and reasoning ability. * Exceptional verbal and written communication, collaboration and time management skills. * Ability to adapt to various work environments and project schedules. * Ability to work independently as well as in a team environment with all levels of personnel. * Ability to maintain confidentiality. * Must work under minimal supervision. * Proficient in Microsoft Office suite. * CRCM preferred. * Must be able to get along with co-workers and work effectively in a team environment * Must successfully pass background investigation according to company policy.

About the job The Associate Director of Supervision supports the Managing Partner and Director of Supervision in shaping the culture of compliance in the office. This role supports implementing the supervision strategy and risk management policies for the Network office. Responsibilities: •Perform review and supervision of multiple systems, including, but not limited to, flagged email andsocial media correspondence, transaction/trend supervision, and compliance monitoring systems •Assist in completing on-site inspections, client file reviews, and compliance-related interviews of Financial Representatives and their staff •Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered BranchOffices, and other field locations as required by FINRA •Support Financial Representatives and field staff, related to risk management, regulatory change,policies and procedures, and documentation requirements •Support supervisory plans put in place to address non-standard behavior or to address salespractice concerns •Support the direction of the Local Network Office compliance program •Promote strong culture of compliance •Premier Audit Results •Support DoS to maintain low or minimal HPM risk assessment score •Help to streamline and deliver compliance training and procedures to Network Office Qualifications: •Bachelor's degree required •Previous supervision / compliance / risk management experience in the financial services industry required •CA life/accident/health required •Series 7, Series 63, and SIE required •Series 9 and Series 10 preferred

BSA Compliance Specialist II - A BS/BA degree in a related field of study required or equivalent work experience; Certified Anti-Money Laundering Specialist (CAMS) Certification or other comparable industry designation preferred. A minimum of three years' experience in related positions required; banking, compliance, and operations experience required. Some essential duties are as follows: Responsible for utilizing the Prime transaction monitoring and risk profiling software; creates pre-determined rules for input into the software; monitors the results produced by the software for any necessary adjustments. Analyzes complex financial transactions utilizing a wide variety of systems, databases, applications, and reports to identify unusual account activity among associated account holders; documents all findings in a centralized case management system, creates individual case folders, and forwards all supporting documentation to BSA/AML Officer on cases requiring additional investigation. Assists in communication, investigation, and dissemination of information concerning Bank Secrecy Act (BSA) and Anti-Money Laundering (AML). Reviews Currency Transaction Reports (CTRs); files reports to FINCEN on a weekly basis. Reviews monetary instrument logs for negotiable instruments purchased by individuals or businesses. Maintains the Customer Identification Program; reviews all new and updated personal and business accounts to ensure that the proper documentation has been obtained. Performs customer due diligence; reviews anticipated activity for customers and businesses to determine proper risk rating; has continuous communication with branch employees regarding documentation to complete customer identification. Acts as a front-line contact with internal customers. Ensures risk ratings are performed on all new customers. Establishes customer risk codes in system. Maintains database and files of high-risk customers. Creates customized reports for high-risk customer review. Performs continual transaction review and activity analyses of high-risk customers. Maintains well-documented files for all high-risk customers; reviews high-risk customer activity, utilizing Prime program for monitored transactions, for enhanced due diligence. Makes recommendations, as applicable, for changes to customer risk ratings and performs, as necessary, new customer risk assessments. Review's account holder information for potential Office of Foreign Assets Control (OFAC) matches. Reviews list of individuals and businesses who regulatory authorities and law enforcement have shared, under 314(a), seeking information on reasonably suspected persons/businesses based on credible evidence, of engaging in terrorist acts or money laundering activities. May perform information sharing under 314(b) with other financial institutions as needed. Identifies and researches unusual or potential suspicious activity. Prepares Suspicious Activity Reports; prepares narrative and documentation for SARs not filed; and forwards all SAR activity, reports, and documentation to manager for approval and filing. Assists in the writing and editing of various BSA written materials (procedures, reports, training materials, etc.) Serves as a technical resource involving BSA and AML issues. May provide departmental backup or oversight in the absence of the BSA/AML Officer, i.e., wire approvals, reviewing Incident Referral Forms for potential SAR filing. Performs other related duties as assigned. Washington Financial offers a very competitive benefits package which includes paid time off and holidays; affordable group benefits (medical, dental, vision); a 401(k) plan; and employee discounts on products and services. Apply online at **************** and attach a resume to the application, or by mail to 190 N. Main Street, 4th Floor, Washington. Equal Opportunity Employer

Bank in Midtown, Manhattan is seeking a BSA / AML Analyst for a long-term, temp-to-perm assignment. Responsibilities: Conduct high risk customer EDD reviews and assess potential suspicious activity Review and clear alerts generated by OFAC watchlist screening and 314(a) information requests in the BSA/AML transaction monitoring system. Ensure that all transactions/customers deemed suspicious are referred to the BSA Officer in a timely manner. Review and clear suspicious activity alerts generated by the Bank's BSA/AML transaction monitoring system. Escalate alerts to cases for further review in a timely manner, as appropriate. Qualifications: Bachelor's Degree 3-5 years of previous experience of AML/BSA/ within banking Knowledge of Federal regulations (especially BSA/AML/OFAC) Proficient knowledge of MS Word, Excel, Access. Strong analytical and organizational skills; a proactive and fast learner with an eye for details as well as excellent time management and prioritization skills

The Post-closing Analyst is responsible for end-to-end review of executed closing package ensuring accurate and timely completion of Final Closing Package Review, Loan Onboarding, Collateral Shipment, and File Completion. Responsible for reviewing closed loan packages for accuracy and verifying information in the Client's processing system. Responsible for obtaining final fee sheet or disbursement ledger by following daily activities necessary to obtain outstanding final fee sheets. Reviewing and reconciling the closing agent fee sheet with the final lender CD. Identifying remediation requirement. Enter trailing document suspense conditions into the client's processing system within a timely manner. Identify and obtain missing Custodian documents. Request shipment of custodial documents within a timely manner. Maintain contact with the closing agent to insure prompt delivery of trailing documents. Review trailing documents for accuracy. Request shipment of trailing documents upon receipt. Maintain a standard of customer service comparable to leading standards of Client's industry while supporting the team goals.