compliance and control analyst

Trustco Bank

<div></div><div>Job Title: Compliance Analyst I
Reports to: Compliance Officer
FLSA Status: Non-Exempt
Salary Grade: NE16
Supervisory Responsibility: No
SUMMARY:
The Compliance Analyst will assist compliance management in identifying, assessing, reporting, and containing compliance risk through the implementation and execution of the compliance risk assessment process and the completion of routine compliance control testing and monitoring.
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned by supervisor and/or Trustco Bank&rsquo;s Board of Directors.<ul><li>Conduct weekly, monthly, and quarterly reviews of Bank policies and procedure.</li><li>Monitor compliance violations identified during periodic reviews of policies and procedures.</li><li>Coordination of data for reporting results of the effectiveness of the compliance monitoring program.</li><li>Review existing policies and procedures taking into consideration existing and new state and federal regulations.</li><li>Other time sensitive projects assigned by the compliance officer or manager.</li></ul>
REQUIRED EDUCATION/EXPERIENCE:<ul><li>A bachelor&rsquo;s degree in a business-related field or equivalent level of education and experience.</li><li>One to two years&rsquo; compliance work experience.</li><li>Effective verbal and written communication skills.</li><li>Well organized with the ability to manage multiple tasks and work to time sensitive deadlines.</li><li>Ability to work well independently and in groups.</li><li>Working knowledge with Microsoft Office Programs; Excel and Word</li></ul>
PREFERRED EDUCATION/EXPERIENCE:<ul><li>None</li></ul>
POSITION TYPE/EXPECTED HOURS: 
This is a full-time position. Office hours Monday &ndash; Friday 8:30am &ndash; 5:00pm. Evening and weekend work may be required as job duties demand. 
TRAVEL: 
No travel required. 
LANGUAGE SKILLS:
Must be able to speak, read, write, and understand the primary language(s) used in the workplace; bilingual skills a plus. Ability to read, analyze, and interpret general business information, including but not limited to company policies and procedures. Ability to effectively present information and respond to questions from groups of managers and customers.
PHYSICAL DEMANDS:
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.<ul><li>
This is largely sedentary role, requiring use of typical office equipment such as a computer, laptop and phone.</li><li>
Ability to communicate both in person and/or by telephone.</li></ul>
WORK ENVIRONMENT:
The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
For the most part, ambient room temperatures, lighting and traditional equipment as found in a typical office / retail environment.
OTHER DUTIES:
Please note this job description is not designed to cover or contain a comprehensive listing of all activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.
EEO Statement: We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status or any other characteristic protected by law.
EQUAL EMPLOYMENT OPPORTUNITY STATEMENT:
Trustco Bank is an equal opportunity. It is the policy of Trustco Bank to afford equal employment opportunities to all qualified persons without regard to race, color, religion, sex, national origin, age, marital status, genetic information, disability or protected veteran status.<div>
This includes, but is not limited to, the following:</div><div></div><ul><li> 
Hiring, placement, upgrading, transfer, demotion or promotion</li><li>Recruitment, advertising or solicitation for employment</li><li>Treatment during employment</li><li>Rates of pay or other forms of compensation</li><li>Selection for training, including apprenticeship</li><li>Layoff or termination</li></ul><div></div> 
It is the policy of Trustco Bank to cooperate to the fullest extent with the applicable regulations of the Civil Rights Act and any legislation on Equal Employment Opportunity.</div>

Compliance Analyst

Advanced Behavioral Health (ABH®)

<div><div>POSITION SUMMARY:

The Data Analyst / Compliance Coordinator is responsible for collecting, analyzing and reporting data. Additionally, this role will assist with compliance tactical related functions. This position will develop consistent timely reports and design/deliver actionable dashboards and analytical tools. The Data Analyst and Compliance Coordinator will analyze inventory data to identify trends and opportunities as well interpret complex data and provide clear recommendations. This position is expected to exhibit a positive, solution-focused attitude and respond promptly to requests as well as take on additional responsibilities as required. This position is also responsible for supporting various contracts and special projects by assisting in the new developments and enhancements to reports and data extracts. This position will represent ABH&reg; and its services in a positive and professional manner and adhere to ABH&reg;&rsquo;s best practices, guidelines, policies and procedures as established, promoting ABH&reg; as a leader in behavioral healthcare in all interactions and work.

DUTIES AND RESPONSIBILITIES:
<ul>
<li>Collect, analyze and report on data;</li>
<li>Assist with tactical related functions;</li>
<li>Design and deliver reports, dashboards and extracts, in conjunction with customers;</li>
<li>Analyze data to identify trends and opportunities for improvement;</li>
<li>Standardize, streamline and enhance data management processes;</li>
<li>Provides quality control of any reports generated;</li>
<li>Acts as a resource for data-related questions;</li>
<li>Prioritizes work and project tasks to meet goals or deadlines within time and budget constraints;</li>
<li>Maintains flexibility to adapt to changing requirements and needs;</li>
<li>Maintains confidentiality of all client protected health information and adheres to all HIPPA related policies and procedures;</li>
<li>Demonstrates ethical behavior and cultural sensitivity in all activities involving individuals of diverse backgrounds;</li>
<li>Performs other tasks/responsibilities as required to support the business operations.</li></ul> 
 
EDUCATION AND EXPERIENCE REQUIREMENTS:
<ul>
<li>Bachelor&rsquo;s Degree, or equivalent, in a business-related field;</li>
<li>Strong analytical, organizational and communication skills;</li>
<li>Experience with a variety of software programs including, but not limited to, MS Excel (visual basic, macros, advanced functions and pivot tables), MS Access, SPSS and Crystal Reports;</li>
<li>Proficiency in Data Visualization Tools: experience with, or ability to learn, tools like Tableau or Power BI preferred;</li>
<li>Database / tracking experience in working with databases or software systems that track incidents;
</li><li>Ability to evaluate complex data and provide high-quality reports, dashboards, and tools;</li>
<li>Ability to work both independently and as part of a cross-functional team
</li><li>Experience in a role requiring professional/positive verbal and written communication skills with internal and external customers;</li>
<li>Attends annual Conflict of Interest training.</li>
</ul>
KNOWLEDGE/SKILLS/ABILITIES:

&sect; Assists with the analysis of Compliance report data;

&sect; Assists with the development and implementation of routine auditing;

&sect; Assists with the evaluation of compliance risks using data;

&sect; Collaboration with Compliance staff to create and manage needed reports and dashboards;

&sect; Develop and maintain processes to share Compliance data as directed;

&sect; Maintain and update incident reporting log;

&sect; Participates in Policy and Procedure Committee and other committees as directed;

&sect; Ability to develop and implement timely data reports;
&sect; Strong analytical skills, with the ability to design reports, dashboards and extracts;

&sect; Demonstrates exceptional customer service skills with a focus on teamwork;

&sect; Strong attention to detail; ability to work on multiple tasks and meet deadlines;

&sect; Excellent PC skills with demonstrated experience using Microsoft Office Package (MS Word, Excel, Power Point, Access, Outlook), reporting and data visualization tools;

&sect; Strong written and verbal communication skills required.
We are an Equal Opportunity Employer.</div></div><div></div>

Data Analyst/Compliance Coordinator

Advanced Behavioral Health

<div><div>POSITION SUMMARY:</div><div></div><div> 
The Data Analyst / Compliance Coordinator is responsible for collecting, analyzing and reporting data. Additionally, this role will assist with compliance tactical related functions. This position will develop consistent timely reports and design/deliver actionable dashboards and analytical tools. The Data Analyst and Compliance Coordinator will analyze inventory data to identify trends and opportunities as well interpret complex data and provide clear recommendations. This position is expected to exhibit a positive, solution-focused attitude and respond promptly to requests as well as take on additional responsibilities as required. This position is also responsible for supporting various contracts and special projects by assisting in the new developments and enhancements to reports and data extracts. This position will represent ABH&reg; and its services in a positive and professional manner and adhere to ABH&reg;&rsquo;s best practices, guidelines, policies and procedures as established, promoting ABH&reg; as a leader in behavioral healthcare in all interactions and work.</div><div></div><div> 
DUTIES AND RESPONSIBILITIES:</div> 
<div></div><ul><li>
Collect, analyze and report on data;</li><li>
Assist with tactical related functions;</li><li>
Design and deliver reports, dashboards and extracts, in conjunction with customers;</li><li>
Analyze data to identify trends and opportunities for improvement;</li><li>
Standardize, streamline and enhance data management processes;</li><li>
Provides quality control of any reports generated;</li><li>
Acts as a resource for data-related questions;</li><li>
Prioritizes work and project tasks to meet goals or deadlines within time and budget constraints;</li><li>
Maintains flexibility to adapt to changing requirements and needs;</li><li>
Maintains confidentiality of all client protected health information and adheres to all HIPPA related policies and procedures;</li><li>
Demonstrates ethical behavior and cultural sensitivity in all activities involving individuals of diverse backgrounds;</li><li>
Performs other tasks/responsibilities as required to support the business operations.</li></ul><div> 
EDUCATION AND EXPERIENCE REQUIREMENTS:</div><ul><li>
Bachelor&rsquo;s Degree, or equivalent, in a business-related field;</li><li>
Strong analytical, organizational and communication skills;</li><li>
Experience with a variety of software programs including, but not limited to, MS Excel (visual basic, macros, advanced functions and pivot tables), MS Access, SPSS and Crystal Reports;</li><li>
Proficiency in Data Visualization Tools: experience with, or ability to learn, tools like Tableau or Power BI preferred;</li><li>
Database / tracking experience in working with databases or software systems that track incidents;</li><li>
Ability to evaluate complex data and provide high-quality reports, dashboards, and tools;</li><li>
Ability to work both independently and as part of a cross-functional team</li><li>
Experience in a role requiring professional/positive verbal and written communication skills with internal and external customers;</li><li>
Attends annual Conflict of Interest training.</li></ul><div></div><div> 
KNOWLEDGE/SKILLS/ABILITIES:</div><ul><li>
Assists with the analysis of Compliance report data;</li><li>
Assists with the development and implementation of routine auditing;</li><li>
Assists with the evaluation of compliance risks using data;</li><li>
Collaboration with Compliance staff to create and manage needed reports and dashboards;</li><li>
Develop and maintain processes to share Compliance data as directed;</li><li>
Maintain and update incident reporting log;</li><li>
Participates in Policy and Procedure Committee and other committees as directed;</li><li>
Ability to develop and implement timely data reports;</li><li>
Strong analytical skills, with the ability to design reports, dashboards and extracts;</li><li>
Demonstrates exceptional customer service skills with a focus on teamwork;</li><li>
Strong attention to detail; ability to work on multiple tasks and meet deadlines;</li><li>
Excellent PC skills with demonstrated experience using Microsoft Office Package (MS Word, Excel, Power Point, Access, Outlook), reporting and data visualization tools;</li><li>
Strong written and verbal communication skills required.</li></ul></div>

American Express

<div>At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
We are seeking a detail-oriented and highly organized analyst to support policy development, standards enforcement, and procedure management for Global Sanctions and PEP programs, aligned with the Policy, Procedure, and Project Management pillar. This role is ideal for someone who excels in technical writing, document control, and regulatory interpretation. The analyst will be responsible for maintaining, enhancing, and enforcing internal sanctions-related policies and standards, as well as reviewing local market and business unit procedures for alignment. The ideal candidate will bring strong writing and editing skills, sound judgment, and the ability to communicate clearly across global stakeholders.
This is a hybrid position and cannot be performed remotely.
This role may also support other responsibilities and functions within the Global Sanctions team as needed.
How will you make an impact in this role?
<ul><li>Assist in drafting and updating Global Sanctions and PEP policy and process documentation
</li><li>Help maintain the firm&rsquo;s Enterprise Sanctions and PEP procedures
</li><li>Review local market procedures for alignment with enterprise requirements
</li><li>Coordinate stakeholder feedback and lead or support calls with partners to promote compliance with policy expectations
</li><li>Track and document adherence to procedural updates
</li><li>Partner with control functions to drive consistency across documentation
</li><li>Support other functions in support of the Global Sanctions Team as needed
</li></ul>Minimum Qualifications
<ul><li>Bachelor&rsquo;s degree or equivalent experience
</li><li>2+ years of experience in policy, compliance, risk management, or financial services
</li><li>Strong writing, editing, and document control skills
</li><li>Ability to facilitate calls and work cross-functionally
</li><li>Familiarity with enterprise governance frameworks
 </li></ul>Preferred Qualifications
<ul><li>Experience supporting policy or standards governance in a regulated environment
</li><li>Familiarity with sanctions regulations or global risk frameworks
</li><li>Exceptional communication and collaboration skills
</li></ul>Salary Range: $55,000.00 to $105,000.00 annually + bonus + benefits
The above represents the expected salary range for this job requisition. Ultimately, in determining your pay, we&rsquo;ll consider your location, experience, and other job-related factors.
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
<ul><li>Competitive base salaries
</li><li>Bonus incentives
</li><li>6% Company Match on retirement savings plan
</li><li>Free financial coaching and financial well-being support
</li><li>Comprehensive medical, dental, vision, life insurance, and disability benefits
</li><li>Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
</li><li>20+ weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy
</li><li>Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
</li><li>Free and confidential counseling support through our Healthy Minds program
</li><li>Career development and training opportunities
</li></ul>For a full list of Team Amex benefits, visit our Colleague Benefits Site .
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law. American Express will consider for employment all qualified applicants, including those with arrest or conviction records, in accordance with the requirements of applicable state and local laws, including, but not limited to, the California Fair Chance Act, the Los Angeles County Fair Chance Ordinance for Employers, and the City of Los Angeles&rsquo; Fair Chance Initiative for Hiring Ordinance. For positions covered by federal and/or state banking regulations, American Express will comply with such regulations as it relates to the consideration of applicants with criminal convictions.
We back our colleagues with the support they need to thrive, professionally and personally. That's why we have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture. Depending on role and business needs, colleagues will either work onsite, in a hybrid model (combination of in-office and virtual days) or fully virtually.
US Job Seekers - Click to view the &ldquo; Know Your Rights &rdquo; poster. If the link does not work, you may access the poster by copying and pasting the following URL in a new browser window: https://www.eeoc.gov/poster 
 Employment eligibility to work with American Express in the United States is required as the company will not pursue visa sponsorship for these positions.</div>

Analyst-Compliance -Procedure & Project Management Analyst – Policy & Standards Enforcement

Mastercard

<div>Our Purpose
Mastercard powers economies and empowers people in 200+ countries and territories worldwide. Together with our customers, we&rsquo;re helping build a sustainable economy where everyone can prosper. We support a wide range of digital payments choices, making transactions secure, simple, smart and accessible. Our technology and innovation, partnerships and networks combine to deliver a unique set of products and services that help people, businesses and governments realize their greatest potential.
Title and Summary
Analyst, Legal Compliance
JOB TITLE 
 
Analyst, Legal Compliance, Mastercard Transaction Services 
 
Overview 
At Mastercard, we are committed to protecting our network and solutions from being used to facilitate money laundering and terrorist financing. The Mastercard Transaction Services (MTS) Compliance Analyst actively participates in a Shared Services support role for Non-Traditional Customers (NTC). Mastercard has business lines, such as Data and Services (D&amp;S), that acquires other companies, which requires customers of those acquisitions to undergo due diligence onboarding and ongoing monitoring, with a focus on Anti-Money Laundering (AML) and sanctions compliance. 
 
Reporting to the Manager-Legal Compliance, MTS, this role will execute the day-to-day onboarding and ongoing monitoring for these Non-Traditional Customers of D&amp;S acquisitions. The Analyst works under general supervision and leverages analytical reasoning skills to draw conclusions, resolve moderately complex research, perform root cause analysis, assess risk factors, and perform other assigned compliance activities as deemed necessary. 
Role 
<ul><li>Perform Know Your Customer (KYC) due diligence onboarding identification and verification procedures for potential new NTC customers through the Bureau Van Dijk (BVD) system, with a focus on AML and sanctions compliance</li><li>Conduct initial and ongoing alert dispositioning relating to sanctions, adverse media. Politically Exposed Persons (PEPs), enforcement etc. screening, using resources and research to determine if alerts are positive or false positive</li><li>Escalate positive alerts to MTS management for further review. Confirmed positive alerts are escalated to D&amp;S Compliance for further guidance and action</li><li>Conduct simplified due diligence screening process through GRID for potential prospects who are not yet in the onboarding process to ensure no sanctions or adverse information is related to the company or individual</li><li>Ensure that Service Level Agreements (SLAs) are met for due diligence onboarding and ongoing monitoring and prospect screening, including follow-up analysis and reconciliation</li><li>Perform periodic Customer Due Diligence (CDD) reviews so that risks can be reevaluated and if activity is aligned with expectations</li><li>Document the review and investigation process followed for each customer due diligence and alert disposition process undertaken so that a clear, auditable trail is available of decisions made and actions taken
</li><li>Provide support to D&amp;S compliance during the customer lifecycle to evaluate potential AML and sanctions risks</li><li>Provide support and input for AML and sanctions Program Risk Assessments</li><li>Adhere to compliance procedures and internal operational risk controls in accordance with all applicable regulatory standards, requirements, and policies</li><li>Support D&amp;S Compliance team with metrics and reporting as needed
</li><li>Ensure proper recordkeeping is maintained for all processes</li></ul> 
All About You 
<ul><li>Bachelor&rsquo;s degree required/or the equivalent experience in a compliance, risk management function in the financial services or payments industry</li><li>At least 5+ years of experience in compliance data services or related fields (e.g., AML,KYC, Sanctions)</li><li>Analytical thinker and practical problem solver with demonstrated ability to partner effectively with others in handling issues</li><li>Motivated self-starter with an appetite to learn and grow in a regulatory compliance function</li><li>Ability to follow and execute procedures with limited supervision, to work in a fast paced and dynamic environment while handling multiple tasks simultaneously, and consistently meet established deadlines</li><li>Sound judgment with ability to build rapport at multiple levels, and across business lines; proven ability to persuade and drive results</li><li>Strong attention to detail, problem-solving, organizational, and written/verbal communication skills</li><li>Strong understanding of AML, BSA, USA PATRIOT Act and OFAC controls and requirements</li><li>ACAMS Certification preferred</li><li>Technologically savvy with Microsoft Office and database tools</li></ul> 
Location(s): Pune, India
Corporate Security Responsibility 
All activities involving access to Mastercard assets, information, and networks comes with an inherent risk to the organization and, therefore, it is expected that every person working for, or on behalf of, Mastercard is responsible for information security and must:<ul><li>
Abide by Mastercard&rsquo;s security policies and practices;</li><li>
Ensure the confidentiality and integrity of the information being accessed;</li><li>
Report any suspected information security violation or breach, and</li><li>
Complete all periodic mandatory security trainings in accordance with Mastercard&rsquo;s guidelines.</li></ul></div>

Analyst, Legal Compliance

Deutsche Bank

<div><div><h1 class="jobSectionHeader">Accounting Control Analyst
</h1><div><div><div><div><div>Job ID: R0399744 </div><div>Full/Part-Time: Full-time
</div></div> 
<div><div>Regular/Temporary: Regular </div><div>Listed: 2025-09-04
</div></div> 
<div><div>Location: Pune
</div></div> 
</div></div></div><h2 class="jobSectionHeader">Position Overview
</h2>In Scope of Position based Promotions (INTERNAL only)
Job Title: Accounting Control Analyst
Corporate Title: NCT
Location: Pune, India
Role Description
<ul><li>Analyst will be part of Accounting Close work stream and will be responsible for Month end accounting and reporting process.
</li><li>The primary function of the role is processing of standard adjustments on the ledger, work on IFRS/ HGB &amp; BASTA P&amp;L &amp; Balance Sheet, perform validation checks of financials in Business Consolidation statements, Balance Sheet substantiation &amp; perform additional Financial Disclosures.
</li><li>Additionally participate in control initiatives &amp; ensure accurate, timely and quality delivery of services provided within a risk-free controlled environment, to ensure Deutsche Bank&rsquo;s overall client satisfaction.
</li></ul>What we&rsquo;ll offer you
As part of our flexible scheme, here are just some of the benefits that you&rsquo;ll enjoy,
<ul><li>Best in class leave policy.
</li><li>Gender neutral parental leaves
</li><li>100% reimbursement under childcare assistance benefit (gender neutral)
</li><li>Sponsorship for Industry relevant certifications and education
</li><li>Employee Assistance Program for you and your family members
</li><li>Comprehensive Hospitalization Insurance for you and your dependents
</li><li>Accident and Term life Insurance
</li><li>Complementary Health screening for 35 yrs. and above
</li></ul>Your key responsibilities
Responsible for various Accounting Close production activities; key areas of responsibilities listed below
<ul><li>Head office reporting including P&amp;L and BS and other disclosures (CAT I ,II &amp; III and HGB )
</li><li>IUC accounting &amp; reporting including local &amp; group level
</li><li>Management Reporting &ndash; Board packs, country packs etc
</li><li>MRP &amp; Reconciliations
</li><li>Other misc. reporting &ndash; FX reporting, Tax movement schedule etc
</li><li>Managing internal &amp; external audit queries
</li><li>Validation checks and reconciliation of Financials in BCS system
</li><li>Statistical uploads and Disclosures in BCS
</li><li>Escalations &amp; heads up of all flowback situations to Manager - Be Client/ Colleague/ Process/ Systems
</li><li>Preparing &amp; submitting of Monthly, Quarterly, Yearly Forms within the Head Office governed deadline.
</li><li>Ensure 4 eye principle is carried out across all critical deliverables and processes
</li><li>Ensure Process check list / controls is followed diligently.
</li><li>Recognizing control weakness and driving through the appropriate changes
</li><li>Building and maintaining strong relationships with stakeholders
</li><li>Executing any other tasks delegated by Team manager
</li><li>Supporting on Global Projects
</li></ul>Your skills and experience
<ul><li>Relevant experience of 1-3 years Reporting
</li></ul><ul><li>Strong Accounting skills
</li><li>Good understanding of SAP System architecture,
</li><li>Strong PC skills including Microsoft Excel, Word &amp; Power point
</li><li>Understanding of IFRS
</li></ul><h3 class="jobSectionHeader">Soft Skills
</h3><ul><li>Ability to communicate effectively (oral &amp; written)
</li><li>Strong analytical / business problem-solving skills
</li><li>Well organized &amp; able to clearly present results of work
</li><li>Ability to manage own time
</li><li>Passion for change and confidence in own abilities
</li><li>Diligent, thorough, shows initiative and is proactive
</li><li>Team Player &ndash; willingness to pick up any activity in the team on need basis , able to induct new joiners and support them
</li></ul>Education / Certification/ Skills
<ul><li>CA/ Post-Graduation with 2+ years experience (Preferred)
</li></ul>How we&rsquo;ll support you
<ul><li>Training and development to help you excel in your career.
</li><li>Coaching and support from experts in your team.
</li><li>A culture of continuous learning to aid progression.
</li><li>A range of flexible benefits that you can tailor to suit your needs.
</li></ul>About us and our teams
Please visit our company website for further information:
https://www.db.com/company/company.htm
We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.
 
Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.
 
We welcome applications from all people and promote a positive, fair and inclusive work environment.</div></div>

Accounting Control Analyst

Social Capital Resources

<div>
 
 
 Investment Management Firm in Midtown, Manhattan is seeking a Compliance Analyst for a full-time position!
 
 
 
 
 
 
 
 Responsibilities:
 
 
 
 
 
 <ul>
 <li>
 Assist with oversight of sub-advisers, third-party vendors and service providers
 </li>
 <li>
 Assist with fund launches, product lifecycle events across ETFs, UCITS and private funds
 </li>
 <li>
 Assist in preparing or reviewing DDQs, fund registration documents, website postings
 </li>
 <li>
 Coordinate cross-listings, market openings and registrations across exchanges and regulators
 </li>
 <li>
 Assist in the execution and documentation of the firm&rsquo;s compliance testing and monitoring program
 </li>
 <li>
 Support maintenance of compliance manuals, policy reviews and calendars
 </li>
 <li>
 Help prepare and track regulatory filings (e.g., Form ADV, Form PF, UCITS filings, etc.)
 </li>
 <li>
 Code of Ethics compliance monitoring, including approving / denying requests for personal trading, outside business activities, personal investments
 </li>
 </ul>
 
 
 
 
 
 Qualifications:
 
 
 
 
 
 <ul>
 <li>
 Bachelor's Degree
 </li>
 <li>
 1-3 years of experience in fund operations, middle or back office or fund compliance
 </li>
 <li>
 Strong Excel skills and data experience
 </li>
 <li>
 Proven ability to manage multiple priorities in a deadline-driven environment
 </li>
 <li>
 Knowledge of the Investment Adviser Act, Investment Company Act of 1940 and/or UCITS preferred
 </li>
 </ul>
 
 
</div>

Search 10000+ Compliance and control analyst jobs near you this September. New roles added regularly across leading industries. Apply today.

10000 compliance and control analyst jobs NEAR_ME

Compliance Analyst

Data Analyst/Compliance Coordinator

Data Analyst/Compliance Coordinator

Analyst-Compliance -Procedure & Project Management Analyst – Policy & Standards Enforcement

Analyst, Legal Compliance

Accounting Control Analyst

Compliance Analyst