Compliance Associate

• Location: NY
• Job Type: Direct Placement
• Ref No: 22-05085
• Date: August 03, 2022
• Pay: $0.0 - $105000.0 per Year USD
• Job title:

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Job Description - Compliance Associate

    Compliance Associate

 
 
Hybrid Role in downtown NYC
 
$105-110k base + bonus
 

 
    The Compliance Associate will work as a member of the Compliance Strategy & Project Management Team within the Compliance function. The Team works closely with each regional Compliance Team and has responsibility for strategic Compliance priorities. This position is based in our New York offices and reports to the Global Compliance Manager.   
 

 
    Job Duties: 

 
•         Support the Global Compliance Manager with the implementation of the Global Compliance strategy, plan and projects as prioritised by the Global Head of Compliance     
 
•       Be the Compliance FCO (Function Control Owner) for the ERMF (Enterprise Risk Management Framework) which involves being the key regional Compliance lead for risk management processes and activities, MI (management information) gathering and monitoring of any Compliance Risk Events and Issues/Actions   
 
•       As the FCO, work with the Compliance Team in the resolution of risk events and issues/actions relating to Compliance risks.  This may include Internal Audit actions and mitigating high priority Compliance risks and providing sufficient Compliance input to ensure risks and issues are resolved within specified timescales and with the appropriate remedial action   
 
•       Collect Compliance MI and other Compliance reporting information for regional and global Committees and support the production of papers and reports ensuring consistency and clarity of message. Liaise with key stakeholders such as the Business and Risk to collate and analyse information   
 
•       Support the second line review of the Businesses activities to manage Compliance risks, and ensure adherence to compliance controls. Oversee and guide the Business as required to manage effective compliance across various components of the US compliance programme, for example training completion, supervisory processes/checklists, implementation and embedding of policies and procedures and records and retention    
 
•         Identify any resources, process and capability gaps with the Compliance team and help the Global Compliance Manager and Head of Compliance to formulate appropriate remedial approaches     
 
•       Where required, support the Global Compliance Manager with any activities related to Global Compliance Strategy projects which might sit outside of immediate remit (e.g., support QA of Controls Attestations and MI across the regions)   
 
•       Support the Global   Compliance Manager with any ad hoc requirements as they arise in the course of business     
 

 
    Requirements for the Role:   
 
    Skills   
 
    The role requires a strategic orientated, highly motivated, confident individual who is looking to develop their career in a compliance function. Specific requirements include:   
 

 
•       The ability to analyse information and form judgements about compliance risks;   
 
•       Excellent planning and execution skills, attention to detail and problem-solving skills   
 
•       Clear and concise verbal, written and presented communications   
 
•       Mange tasks with effective structure and organisation skills and ownership to deliver high quality results    
 
•       The ability to deliver outcomes that are critical to the success of a compliance activity, through demonstrating the value of that compliance activity to stakeholders outside the Compliance function;   
 
•       Ability to work with stakeholders to generate ideas and implement agreed vision and strategies;   
 
•       Ability to influence staff at all levels in adopting new initiatives, processes or procedures;   
 
•       Ability to pragmatically assess business problems to identify proportionate solution options;   
 
•       Ability to drive consensus solutions among various stakeholders (sometimes with opposing views) to deliver positive outcomes;   
 

 
    Knowledge:   

 
•       Knowledge of compliance processes   
 
•       Awareness of compliance risks   
 
•       Understanding of wholesale financial markets and broking/trading is preferable   
 

 
    Experience:   

 
•       Broad based compliance experience   
 
•       2-5 years practical work experience   
 
•       Experience of working for or with a financial services firm is desirable   
 

 

 
      About Infinity Consulting Solutions
 
At Infinity Consulting Solutions our mission is to cultivate successful long term relationships with candidates and clients matching the right candidate with the right client. We believe technology cannot replace the real personal relationships we cultivate. We reject the notion that technology alone is the answer to staffing which is why we our successful partnerships rely on collaboration NOT automation. ICS has been providing flexible staffing solutions for over 20 years in Information Technology, Compliance, Accounting / Finance and Corporate Support. Our staffing solutions include Contract, Temp to Perm and Permanent Placement.
 
ICS is an Equal Opportunity Employer.   

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