Compliance Risk Associate

Job Summary

A company is looking for a KIS Surveillance Compliance Associate to assist in identifying and managing compliance risks.

Key Responsibilities

• Provide oversight and surveillance of compliance policies and procedures
• Develop partnerships with various teams to mitigate compliance and reputational risks
• Conduct monitoring and testing of compliance risks and controls, documenting findings

Required Qualifications

• Bachelor's degree in a business-related field
• 5+ years of experience in risk management and/or securities/insurance compliance
• 2-4 years of experience in compliance or related fields within the securities/banking industry
• Strong understanding of regulatory requirements in the retail broker-dealer and insurance industries
• Working knowledge of Microsoft Word, Excel, and PowerPoint