compliance analyst - usds Jobs in New York

compliance analyst - usds

compliance and data governance group manager Jobs in New York

compliance and data governance group manager

compliance associate (bsa/aml) analyst Jobs in New York

compliance associate (bsa/aml) analyst

contract analyst (temporary) Jobs in New York

contract analyst (temporary)

corporate and legal operations analyst Jobs in New York

corporate and legal operations analyst

compliance analyst

TikTok

<div>
 <strong>
  Responsibilities
  <br/>
 </strong>
 TikTok is seeking a Compliance Analyst to be part of the USDS Security Risk and Compliance team. The role will have a significant impact on mitigating security and compliance risk, and maturing USDS operations to meet its compliance objectives. Responsibilities include but are not limited to:
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 - Compliance
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 - Understand USDS compliance requirements including data security, data governance and be able to answer business driven oncall inquiries and deliver feedback to enable compliance operations
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 - Drive compliance assessments and identify compliance risks and mitigations for new product and feature launches
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 - Act as a compliance advisor and partner to enable business operations and Security and Privacy groups by assisting them in the implementation of data security, compliance requirements, and information security technologies
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 - Identify security and compliance risks to the business units and ensure appropriate data security procedures are implemented in projects and technology
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 - Program Management:
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 - Deliver strong customer service to your global business stakeholders including responsiveness, follow through and clear communication
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 - Develop and measure KPIs derived from business driven oncalls to help manage team performance and key compliance risks that can impact organizational compliance and regulatory requirements
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 - Use technology to develop automated mechanisms for responding to business inquiries more efficiently
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 - Utilize case management systems to track business inquiries and compliance assessments
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  Qualifications
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 </strong>
 Minimum Qualifications
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 - Experience with U.S. Regulatory compliance requirements and implementing data security and governance programs
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 - Experience identifying compliance or privacy risks for new product/feature launches
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 - Experience with case management tools or oncall management and ability to respond to compliance or security driven inquiries
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 - Experience conducting data driven compliance assessments including analyzing data fields and complex data flows
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 - Ability to collaborate with operations teams, (technical &amp; non-technical) communicate technical concepts to a broad range of technical and non-technical staff, and provide compliant solutions
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 - Demonstrates excellent organizational direction, time management, problem-solving, prioritization, goal setting, leadership, motivation, negotiation, and interpersonal relations
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 - 1-3 years applicable experience
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 <br/>
 Preferred Qualifications:
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 - Start-up experience
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 - Experience with GDPR reporting, privacy reporting, or regulatory compliance reporting
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 - CISSP / CISA / CISM
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 - Experience with case management tools or GRC platforms (JIRA, Archer)
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 - Experience with risk and controls frameworks including (ISO 27001, NIST CSF, NIST RMF, FAIR, COBIT, NIST RMF, ISO 31000 etc.)
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 <strong>
  About USDS
  <br/>
 </strong>
 TikTok is the leading destination for short-form mobile video. Our mission is to inspire creativity and bring joy. U.S. Data Security (&ldquo;USDS&rdquo;) is a subsidiary of TikTok in the U.S. This new, security-first division was created to bring heightened focus and governance to our data protection policies and content assurance protocols to keep U.S. users safe. Our focus is on providing oversight and protection of the TikTok platform and U.S. user data, so millions of Americans can continue turning to TikTok to learn something new, earn a living, express themselves creatively, or be entertained. The teams within USDS that deliver on this commitment daily span across Trust &amp; Safety, Security &amp; Privacy, Engineering, User &amp; Product Ops, Corporate Functions and more.&ZeroWidthSpace;
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 &ZeroWidthSpace;
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 Data Security Statement&ZeroWidthSpace;
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 This role requires the ability to work with and support systems designed to protect sensitive data and information. As such, this role will be subject to strict national security-related screening.&ZeroWidthSpace;
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 <strong>
  Why Join Us
  <br/>
 </strong>
 Inspiring creativity is at the core of TikTok's mission. Our innovative product is built to help people authentically express themselves, discover and connect &ndash; and our global, diverse teams make that possible. Together, we create value for our communities, inspire creativity and bring joy - a mission we work towards every day.&ZeroWidthSpace;
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 We strive to do great things with great people. We lead with curiosity, humility, and a desire to make impact in a rapidly growing tech company. Every challenge is an opportunity to learn and innovate as one team. We're resilient and embrace challenges as they come. By constantly iterating and fostering an "Always Day 1" mindset, we achieve meaningful breakthroughs for ourselves, our company, and our users. When we create and grow together, the possibilities are limitless. Join us.&ZeroWidthSpace;
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 &ZeroWidthSpace;
 <br/>
 Diversity &amp; Inclusion&ZeroWidthSpace;
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 TikTok is committed to creating an inclusive space where employees are valued for their skills, experiences, and unique perspectives. Our platform connects people from across the globe and so does our workplace. At TikTok, our mission is to inspire creativity and bring joy. To achieve that goal, we are committed to celebrating our diverse voices and to creating an environment that reflects the many communities we reach. We are passionate about this and hope you are too.&ZeroWidthSpace;
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 <br/>
 <strong>
  USDS Reasonable Accommodation
  <br/>
 </strong>
 USDS is committed to providing reasonable accommodations in our recruitment processes for candidates with disabilities, pregnancy, sincerely held religious beliefs or other reasons protected by applicable laws. If you need assistance or a reasonable accommodation, please reach out to us at https://tinyurl.com/USDS-RA&ZeroWidthSpace;
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 <strong>
  Job Information
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 </strong>
 【For Pay Transparency】Compensation Description (Annually)
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 The base salary range for this position in the selected city is $76000 - $146400 annually.&ZeroWidthSpace;
 <br/>
 Compensation may vary outside of this range depending on a number of factors, including a candidate&rsquo;s qualifications, skills, competencies and experience, and location. Base pay is one part of the Total Package that is provided to compensate and recognize employees for their work, and this role may be eligible for additional discretionary bonuses/incentives, and restricted stock units.&ZeroWidthSpace;
 <br/>
 Benefits may vary depending on the nature of employment and the country work location. Employees have day one access to medical, dental, and vision insurance, a 401(k) savings plan with company match, paid parental leave, short-term and long-term disability coverage, life insurance, wellbeing benefits, among others. Employees also receive 10 paid holidays per year, 10 paid sick days per year and 17 days of Paid Personal Time (prorated upon hire with increasing accruals by tenure).&ZeroWidthSpace;
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 The Company reserves the right to modify or change these benefits programs at any time, with or without notice.&ZeroWidthSpace;
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 For Los Angeles County (unincorporated) Candidates:&ZeroWidthSpace;
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 Qualified applicants with arrest or conviction records will be considered for employment in accordance with all federal, state, and local laws including the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. Our company believes that criminal history may have a direct, adverse and negative relationship on the following job duties, potentially resulting in the withdrawal of the conditional offer of employment:&ZeroWidthSpace;
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 1. Interacting and occasionally having unsupervised contact with internal/external clients and/or colleagues;&ZeroWidthSpace;
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 2. Appropriately handling and managing confidential information including proprietary and trade secret information and access to information technology systems; and&ZeroWidthSpace;
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 3. Exercising sound judgment.&ZeroWidthSpace;
</div>


Compliance Analyst - USDS

Safra National Bank

<div>
 <p>
  <strong>
   The BSA / OFAC Analyst
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  Safra National Bank of New York ("Safra National") is a nationally chartered U.S. Bank supervised by the Office of the Comptroller of the Currency and member of the Federal Reserve and the Federal Deposit Insurance Corporation (&ldquo;FDIC&rdquo;). Headquartered in New York, with a branch in Florida and representative offices in Brazil, Chile, Mexico and Panama, Safra National is a leading private bank with a devoted team of relationship managers serving many sophisticated U.S. and international high net worth clients, with focus on Latin America.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Job Description
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  The Compliance Associate (BSA / OFAC Analyst) is responsible for assisting the BSA/AML/OFAC Team in executing compliance functions of the Bank's OFAC/BSA Program. Research BSA/AML/OFAC alerts and conduct thorough investigations and document results. Review account relationships and perform due diligence. Support Compliance department goals as defined.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Key Responsibilities
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Reviews real-time or in-process transactions with potential OFAC matches to ensure compliance with OFAC sanctions
  </li>
  <li>
   Perform Due Diligence using proprietary, subscription and public databases, research entities related to the transactions
  </li>
  <li>
   Analyze transactions and transaction patterns related to Private Bank client activity to identify specific and anomalous activity for AML purposes
  </li>
  <li>
   Assisting in completing general compliance functions as required
  </li>
  <li>
   Other duties related to BSA compliance may be assigned
  </li>
  <li>
   Review system generated alerts, assess impact to AML processes, conduct research as required, and document results in written format.
  </li>
  <li>
   Determines if noted activity is suspicious or not suspicious, by collecting support documentation of cash, check, ACH, wire transfers, monetary instrument, and other transactions, to justify the determination made.
  </li>
  <li>
   Write suspicious activity reports, address sanctions alerts, and other applicable AML processes in accordance with regulatory expectations and departmental procedures.
  </li>
  <li>
   Completes all processes related to the filing of SARs.
  </li>
  <li>
   Resolving any issues necessary to complete reviews and liaising with other departments
  </li>
  <li>
   Completing general compliance functions as required
  </li>
  <li>
   Maintain current knowledge of laws, regulations, policies and procedures applicable to the job assignment.
  </li>
  <li>
   Other duties related to BSA compliance may be assigned
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Requirements
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Knowledge of AML/BSA/OFAC rules, regulations
  </li>
  <li>
   Finance/Banking background
  </li>
  <li>
   Excellent judgment and assessment skills; pro-actively employs personal curiosity to identify and research transactions and transaction-related-parties using a risk-based approach
  </li>
  <li>
   Meet or exceed quality, productivity and timeliness goals
  </li>
  <li>
   Excellent communication skills as evidenced by the ability to concisely and meaningfully explain and support research conclusions, both in written and verbal formats
  </li>
  <li>
   Excellent organization and prioritization skills; follows through to complete deliverables timely
  </li>
  <li>
   Excellent work ethic (respectful, honest, considerate, self-motivated, can reliably work independently, works well under pressure, readily adapts to changing work priorities, is accountable)
  </li>
  <li>
   Proficient in MS excel (sort, pivot tables). Knowledge of MS Access is a plus
  </li>
  <li>
   Demonstrates initiative, creativity and teamwork within the framework of the position responsibilities
  </li>
  <li>
   Bachelor&rsquo;s Degree
  </li>
  <li>
   Spanish and/or Portuguese Speaking is a plus
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <em>
   Safra National Bank is an Equal Employment Opportunity
  </em>
 </p>
</div>


Compliance Associate (BSA/AML) Analyst

Social Capital Resources

<div>
 <p>
  <strong>
   A top-tier Bank in Midtown is seeking a KYC Analyst for a permanent position!
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Responsibilities:
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Ensure KYC documentation added to the KYC source systems is accurate and complete
  </li>
  <li>
   Drive key relationships with the business and clients, including acting as Single Point of Contact for KYC
  </li>
  <li>
   Liaise with Sales, Bankers, Relationship Managers and client directly to acquire missing client KYC documentation
  </li>
  <li>
   Discuss and escalate with Compliance complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues
  </li>
  <li>
   Perform public and internal research to complete due diligence on client KYC profiles
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Qualifications:
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   2-5 years experience within KYC
  </li>
  <li>
   Bachelor's degree
  </li>
  <li>
   Experience with WorldCheck
  </li>
 </ul>
</div>


KYC Analyst

OneTrust

<div><div><h3 class="jobSectionHeader"><b>Strength in Trust</b></h3>
<p>
OneTrust's mission is to enable organizations to use data and AI responsibly. Our platform simplifies the collection of data with consent and preferences, automates the governance of data with integrated risk management across privacy, security, IT/tech, third-party, and AI risk, and activates the responsible use of data by applying and enforcing data policies across the entire data estate and lifecycle. OneTrust supports seamless collaboration between data teams and risk teams to drive rapid and trusted innovation. Recognized as a market pioneer and leader, OneTrust boasts over 300 patents and serves more than 14,000 customers globally, ranging from industry giants to small businesses.</p></div><h3 class="jobSectionHeader"><b>
The Challenge</b></h3>
<p>
The Senior Tax Analyst will leverage their strong analytical skills and team-oriented approach to drive effective tax solutions. As a self-starter, the Senior Tax Analyst will adeptly multitask, prioritize their workload, and manage deadlines to ensure timely and accurate tax reporting. Outstanding organizational and communication skills, both oral and written in English, are crucial, along with the ability to conduct independent research. Excellent interpersonal skills and meticulous attention to detail are essential to excel in this role and contribute to the overall success of the team.</p>
<h3 class="jobSectionHeader"><b>
Your Mission</b></h3>
<p>
You will face a dynamic set of responsibilities requiring attention to detail, strategic thinking, and cross-functional collaboration. You will be responsible for preparing and reviewing U.S. indirect tax filings, including sales and use tax, gross receipts tax, and property tax, while also assisting with income tax compliance, extensions, and estimated tax payments. Additionally, you will support federal and international income tax provisions and partner with teams across accounting, legal, engineering, operations, and finance to address tax-related initiatives.</p>
<p>
Your expertise will be critical in managing indirect tax processes, including account accruals, reconciliations, and journal entries, as well as evaluating tax requirements for new products and system implementations. You will need to anticipate and resolve tax issues, providing insightful recommendations to ensure compliance and efficiency.</p>
<p>
This role requires creating, refining, and documenting tax policies, processes, and workflows to streamline operations. You will also handle necessary registrations and filings, perform research to identify additional filing requirements, and maintain a detailed tax compliance calendar. Resolving state tax notices and supporting miscellaneous projects will further highlight your adaptability and problem-solving skills in a fast-paced environment.</p>
<p>
This is an opportunity to make a significant impact, driving compliance and operational excellence while collaborating with diverse teams on critical tax initiatives</p>
<h3 class="jobSectionHeader"><b>
You Are</b></h3>
<ul><li>Bachelor's or master's degree in accounting, tax, or related field</li>
<li>Minimum 3+ years of experience in Tax, including hands-on involvement in U.S. indirect tax (sales and use tax) compliance and operations. Public accounting experience is welcome but not required.</li>
<li>Working knowledge of Microsoft Office, advanced Microsoft Excel skills preferred</li>
</ul>
<p><b>Extra Impressive</b></p>
<ul>
<li>Experience with Avalara AvaTax/Returns (or other equivalent sales tax software), and Workday Financials, Salesforce, preferred</li>
<li>State and local income tax return/compliance is preferred</li>
<li>CPA, JD or MST preferred</li>
</ul><div><h3 class="jobSectionHeader"><b>Where we Work</b></h3>
<p>
We are embracing an office first culture, encouraging three days a week in office for most roles, with meaningful opportunities to collaborate and celebrate in person.</p>
<p>
Each role may have specific requirements or flexibility depending on the scope of the position, so we encourage you to verify this with your recruiter during your first interview.</p>
<h3 class="jobSectionHeader"><b>
Benefits</b></h3>
<p>
As an employee at OneTrust, you will be part of the OneTeam. That means you'll receive support physically, mentally, and emotionally so that you can do your best work both in and out of the office. This includes comprehensive healthcare coverage, flexible PTO, equity RSUs, annual performance bonus opportunities, retirement account support, 14+ weeks of paid parental leave, career development opportunities, company-paid privacy certification exam fees, and much more. Specific benefits differ by country. For more information, talk to your recruiter or visit onetrust.com/careers.</p>
<h3 class="jobSectionHeader"><b>
Resources</b></h3>
<p>
Check out the following to learn more about OneTrust and its people:</p>
<ul>
<li>OneTrust Careers on YouTube</li>
<li>@LifeatOneTrust on Instagram</li>
</ul><h3 class="jobSectionHeader"><b>Your Data</b></h3>
<p>
You have the right to have your personal data updated or removed. You also have the right to have a copy of the information OneTrust holds about you. Further details about these rights are available on the website in our Privacy Overview<b>. </b>You can change your mind at any time and have your personal data removed from our database. In order to do this you must contact us and let us know you wish to be removed. The request should be made on the Data Subject Request Form.</p>
<p>
Recruitment fraud warning: OneTrust is aware of scams involving false offers of employment with our company. The fraudulent jobs, interviews and job offers use fake websites, email addresses, group chat and text messages. Be aware that we never ask candidates for personal information, IDs or bank information during the interview process. We do not interview prospective candidates via instant message or group chat, and do not require candidates to purchase products or services, or process payments on our behalf as a condition of any employment offer. Please note that any legitimate interview availability requests will come directly from a OneTrust recruiter with an &quot;@onetrust.com&quot; email address. You may also receive legitimate emails from &quot;@us.greenhouse-mail.io&quot;. Recruiters will only reach out to candidates who have applied for a role through our ATS (Greenhouse) or prospects via LinkedIn InMail. Job offers will come from a recruiter and may have a &quot;@docusign.net&quot; email address. For more information or if you have been targeted please reach out to askrecruiting@onetrust.com.</p>
<h3 class="jobSectionHeader"><b>
Our Commitment to You</b></h3>
<p>
When you join OneTrust you are stepping onto a launching pad &mdash; the countdown has begun. The destination? A career without boundaries working alongside a diverse and inclusive crew who is passionate about doing meaningful work. As a pioneer, your voice and expertise will help chart the direction of an entirely new category. Our commitment to putting people first starts with you. Your growth is part of the mission. Our goal is to give you the power to embark on the next phase of your uniquely, unique career.</p>
<p>
OneTrust provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by local laws.</p></div></div>

Senior Tax Analyst

Arrow Search Partners

<div><p><b>About the Company:</b></p>
<p>
Our client is a global alternative investment firm employing a multi-manager model, allocating capital across a broad array of independent teams with diverse strategies.</p><br>
<p></p>
<p><b>
Responsibilities:</b></p>
<ul>
<li>Monitor the FCM&rsquo;s net capital levels on a daily basis to ensure compliance with regulatory requirements</li>
<li>Prepar the daily net capital and monthly Form 1-R-FCM filings</li>
<li>Assist with the preparation and review of the US GAAP financial statements of the FCM</li>
<li>Assist with the coordination of the interim and annual audits including responding to information requests from external auditors</li>
<li>Assist with month-end close responsibilities</li>
<li>Develop and maintain the firm&rsquo;s internal net capital calculation tool</li>
<li>Assist with other regulatory filings</li></ul><br>
<p></p>
<p><b>
Requirements:</b></p>
<ul>
<li>Bachelor&rsquo;s degree required</li>
<li>2-4 years of experience within financial reporting or a related accounting role</li>
<li>Experience with hedge funds, broker dealer, or within financial services</li>
<li>Ability to analyze and organize large amounts of data</li>
<li>CPA a plus</li></ul><br>
<p></p>
<p><b>
Salary Range:</b></p>
<p>
$105,000-$125,000</p><br>
<p></p>
<p>
#LI-BM1</p></div><p></p>

Financial Reporting Analyst

Sumitomo Group

<div><p>SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG&rsquo;s shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.</p><p></p><p><br>
In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization&rsquo;s extensive global network. The Group&rsquo;s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.</p><p></p><p><br>
The anticipated salary range for this role is between $139,000.00 and $200,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.</p><div><div><div><h2 class="jobSectionHeader"><b>
Role Description</b></h2></div><div><p>
The SMBC Compliance Advisory Function resides within Compliance Department Americas Division (&ldquo;CPAD&rdquo;) and provides compliance advice, guidance, and credible challenge to SMBC&rsquo;s businesses and support functions in the Americas Division. The group assists in supporting SMBC stakeholders across the First and Second Lines of Defense regarding a broad range of compliance and regulatory issues and works hand-in-hand with business/function partners to advise on compliance matters, frequently in real time as business is conducted and transactions are executed.</p></div></div><div><div><h2 class="jobSectionHeader"><b>
Role Objectives</b></h2></div><div><p>
The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides centralized compliance support across the Advisory Function with respect to broker-dealer-applicable regulatory engagements, support function coordination, governance and reporting.</p><p><br>
Regulatory Engagements: The Regulatory Governance Team supports SMBC&rsquo;s Broker-dealer entity in managing regulatory exams and responding to regulatory inquiries as they arise. Inquiries can take a variety of forms, including but not limited to, informal information requests from regulators received verbally or via email and formal requests received via regulatory portals or through the Firm&rsquo;s legal department. Providing timely, complete, accurate, and helpful responses to any inquiry is imperative.</p><p><br>
Support Function Coordination: The Regulatory Governance team serves as a central point of contact for facilitating efficient coordination between CPAD Advisory and other internal support functions, including CPAD Central Functions, Strategic Planning Group (SPG), Office of the CEO (CEOAD), Tokyo Home Office, Finance &amp; Operations, Risk, HR, Internal Audit, and Technology. The Regulatory Governance team collaborates with internal support functions to provide and receive status updates, find efficiencies, respond to ad-hoc requests and support the implementation of compliance program enhancements with respect to each of the below-listed Compliance Program areas:</p><ul><li>
Policies and Procedures Management</li><li>
Compliance Training</li><li>
Issues Management</li><li>
Monitoring &amp; Testing</li><li>
Compliance Risk Assessment</li><li>
Communications and Transaction Surveillance</li><li>
Employee Compliance (i.e., Registrations, Outside Business Activities and Personal Account Dealing)</li><li>
Financial Crimes Compliance</li><li>
Regulatory Change Management</li><li>
Compliance Alerts and other Communications</li></ul><p></p><p><br>
Governance and Reporting: The Regulatory Governance Team is responsible for producing management reporting for senior business leadership, CPAD Senior Management, Risk Management, and other governance forums, including relevant metrics). In addition, the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications.</p></div></div><div><div><h2 class="jobSectionHeader"><b>
Responsibilities:</b></h2></div><div><ul><li>
Provide compliance advice and credible challenge to businesses and support functions regarding a broad range of compliance and regulatory issues.</li><li>
Escalate potential conduct incidents, events, and material non-compliance matters.</li><li>
Assist the Regulatory Governance Team Lead in coordinating the intake and responses to regulatory inquiries and managing regulatory exams.</li><li>
Support the preparation and submission of various regulatory applications and filings.</li><li>
Support remediation efforts stemming from regulatory enforcement actions.</li><li>
Assist in process to determine whether to self-report material non-compliance issues to applicable regulators.</li><li>
Support the production of management reporting for business leadership, CPAD, Risk and other governance forums.</li><li>
Support the preparation of materials for governance committees and working groups within the Firm and industry.</li><li>
Coordinate with Compliance and support function staff across the AD to provide subject expertise and to find efficiencies.</li><li>
Coordinate compliance policy &amp; procedure reviews, updates and approvals and facilitate Group Company adoption of AD Compliance Policies.</li><li>
Assist in design and delivery of compliance training materials.</li><li>
Track and support the remediation of Advisory-owned Issues and Corrective Action plans.</li><li>
Assist in drafting and disseminating Compliance alerts, reminders and other communications.</li><li>
Support production of Annual Compliance Report and related senior officer certifications</li><li>
Participate in evaluation and implementation of Compliance technology.</li><li>
Help to identify gaps or areas that can be improved or made more efficient, triggered by:<br>
<ul><li>
Changes in laws, rules and regulations;</li><li>
Changes in AD- or SMBC-level policies;</li><li>
New business initiatives</li><li>
Regulatory findings or recommendations;</li><li>
Audit findings or recommendations;</li><li>
M&amp;T findings or recommendations; and/or</li><li>
Observations by Compliance officer or business staff member</li><li>
Coordinate with relevant stakeholders to support the implementation of enhancements to the Firm&rsquo;s overall compliance program</li></ul></li><li>
Assess applicability, coordinate impact assessment and support implementation of changes in response to new regulations and regulatory developments through the Regulatory Change Management process.</li><li>
Provide regulatory advice and oversight of compliance with expertise in US securities, laws and regulations.</li><li>
Proactively engage with Compliance, Legal and other control function colleagues to enhance the overall Compliance program.</li><li>
Support the coordination and drafting of management related reports on a timely basis.</li><li>
Escalate regulatory concerns and other significant matters to their manager.</li><li>
Communicate policies, procedures and new regulatory requirements simply and efficiently to affected business and infrastructure units in order to minimize bureaucracy and process burden.</li><li>
Assist in the design, implementation and maintenance of Compliance policies and procedures to ensure consistency in achieving industry best practices and in minimizing regulatory risk.</li><li>
Seek operational efficiencies and automation of processes to reduce risk of manual processes.</li></ul></div></div><div><div><h2 class="jobSectionHeader"><b>
Qualifications and Skills</b></h2></div><div><ul><li>
Knowledge in US securities laws, rules and regulations, including SEC and FINRA requirements.</li><li>
Ability to communicate this knowledge and applicability both verbally and in writing</li><li>
Ability to manage multiple assignments and build consensus among stakeholders&rsquo; communication skills among other attributes.</li><li>
Must be well organized with prioritization and project management skills on a global scale.</li><li>
Ability to translate technical subject matter and convey it in easily understandable components for the clients.</li><li>
Attention to detail and discipline to follow up on issues until resolved.</li><li>
Ability to translate technical subject matter and convey it in easily understandable components for the clients.</li><li>
Ability to manage multiple assignments and build consensus among stakeholders communication skills among other attributes.</li><li>
Attention to detail and discipline to follow up on issues until resolved.</li><li>
Must be well organized with project management skills.</li><li>
Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred. Series 7, 24, 79 a plus.</li></ul></div></div></div><p>
SMBC&rsquo;s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.</p><p></p><p><br>
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.</p></div>

Broker Dealer Regulatory Governance Advisory Compliance Officer

Ankura

<div><div>Ankura is a team of excellence founded on innovation and growth.</div><div></div><div><div>
This position supports the Ankura Disputes &amp; Economics Business Group - one of six practices focused on client delivery services across the Firm.</div></div><div></div><div><div><div><div>
Practice Overview:</div></div><div><div>
The Healthcare &amp; Life Sciences practice focuses on assisting healthcare and life science clients and their counsel in addressing the issues associated with complex disputes, investigations, regulatory and compliance, and technology services. Our practice professionals have a thorough understanding of the issues facing a broad range of clients in the healthcare industry including but not limited to provider, payer, and pharmacy clients. We bring the deep industry knowledge and experience necessary to assist these clients with their most pressing and sensitive matters.</div></div><div><ul><li><div>
Ankura&rsquo;s provider team has experience assisting hospitals, long term care centers, outpatient and diagnostic centers, DME providers, home health agencies, hospice centers and their legal counsel to provide effective solutions for their most complex litigation and compliance issues.</div></li></ul></div><div><ul><li><div>
Ankura&rsquo;s payer team brings a combination of compliance, operations, audit, clinical coding, data analytics, financial, valuation, and systems professionals to support payer executives and their counsel with regulatory compliance, operations, disputes, investigations, and transaction support and due diligence.</div></li></ul></div><div><ul><li><div>
Ankura&rsquo;s pharmacy team assists counsel across the entire spectrum of pharmacy benefits, including retail, hospital, and specialty pharmacies; distributors; pharmacy benefit managers; and plan sponsors. Our expertise includes: the quantification of financial exposure through analytic and statistical methods; prescription drug claims submission and payment; pharmacy benefit administration; Medicare Part D compliance; and the preparation of expert and consultative reports shared with prosecutors or used in commercial litigation.</div></li></ul></div></div><div></div><div><div>
Role Overview: Associates, working as part of a project team, perform critical, value-added work that directly impact a client&rsquo;s bottom line. You may be involved in projects supporting our provider, payer or pharmacy clients with disputes, investigations, regulatory and compliance, or technology services related issues.</div><div></div><div>
Responsibilities:</div><ul><li><div>
Developing and performing financial, accounting, economic, and statistical analyses</div></li><li><div>
Providing detailed fact finding, research and analysis</div></li><li><div>
Developing computer models including detailed and complex spreadsheet analyses</div></li><li><div>
Assisting with data gathering activities including document review, research, and quality control of data entry activities and preparation of expert reports and exhibits</div></li><li><div>
Demonstrating proper documentation of analysis</div></li><li><div>
Providing excellent client service.</div></li></ul></div><div></div><div><div>
Requirements:</div></div><div><div>
Candidates should be top academic performers, be interested in the consulting industry, and meet the following criteria:</div></div><div><ul><li><div>
Bachelor&rsquo;s Degree with an expected graduation date between December 2025 to June 2026, with a major in Economics, Computer Science, Data Science, Statistics/Biostatistics, Public Health, or Mathematics</div></li><li><div>
A cumulative GPA of 3.2 or better.</div></li><li><div>
Interest in the healthcare industry.</div></li><li><div>
Hands-on experience with large datasets, applied machine learning, or AI methods (through coursework, research, internships, or independent projects).</div></li><li><div>
Experience supporting academic research or applied projects involving Python, R, or similar programming languages.</div></li><li><div>
Excellent verbal and written communication skills.</div></li><li><div>
Creative problem-solving ability and a collaborative, consultancy mindset.</div></li><li><div>
Ability to multi-task and effectively prioritize tasks.</div></li><li><div>
Highly motivated, driven, and dynamic attitude towards work and career.</div></li><li><div>
Ability to excel within a team environment.</div></li><li><div>
Proficiency in Microsoft Excel, Word, and PowerPoint</div></li><li><div>
Experience with SQL, Python, R, Stata, SAS, or similar statistical/ML packages; familiarity with cloud platforms (AWS, Azure, or GCP) is a plus.</div></li><li><div>
Ability to work overtime or travel as requested.</div></li><li><div>
Please note that this role requires permanent authorization to work in the U.S. (i.e. U.S. citizen or permanent resident). Internships and full-time University Associate roles are not eligible for U.S. immigration sponsorship, work visa or any other temporary work authorization (i.e. OPT, CPT).</div></li></ul></div></div><div></div><div><div><div><br>
Ankura is required to include a reasonable estimate of the compensation range for this role. This compensation range is specific to the said markets and considers a broad range of factors including but not limited to skill sets, experience and training, licensure and certifications, and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. The range does not include additional benefits outside of salary. At Ankura, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each role. A reasonable estimate of the current base pay range is between $50,000 to $120,000; this range is not a promise of a particular wage.</div></div></div><div></div><div>
Ankura is an Affirmative Action and Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against based on disability. Equal Employment Opportunity Posters, if you have a disability and believe you need a reasonable accommodation to search for a job opening, submit an online application, or participate in an interview/assessment, please email accommodations@ankura.com or call toll-free +1.312-583-2122. This email and phone number are created exclusively to assist disabled job seekers whose disability prevents them from being able to apply online. Only messages left for this purpose will be returned. Messages left for other purposes, such as following up on an application or technical issues unrelated to a disability, will not receive a response.</div></div><div></div>

University Associate, Disputes & Economics (Healthcare and Life Sciences)

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