compliance associate

The Hollister Group

<div>
 <p>
  <strong>
   Compliance Associate
  </strong>
 </p>
 <p>
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 </p>
 <p>
  <strong>
   Overview:
  </strong>
 </p>
 <p>
  Our client, a prestigious law firm, is seeking a diligent and detail-oriented Compliance Associate to join their dedicated team. This role offers a unique opportunity to work within a collaborative environment that emphasizes work-life balance, professional growth, and community engagement. You will play a vital part in ensuring the firm remains compliant with regulatory standards, supporting critical functions that uphold the company's integrity and reputation.
 </p>
 <p>
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 </p>
 <p>
  <strong>
   Compensation:
  </strong>
 </p>
 <p>
  $80,000 - $110,000 yearly salary
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Responsibilities:
  </strong>
 </p>
 <ul>
  <li>
   Collaborate closely with the Chief Compliance Officer to manage SEC and banking reporting and compliance tasks
  </li>
  <li>
   Contribute to the SEC and bank examination processes, including follow-up actions
  </li>
  <li>
   Oversee the timely preparation and submission of federal and state regulatory filings, ensuring adherence to relevant requirements such as Form ADV, Form CRS, and Form U4/U5
  </li>
  <li>
   Maintain and update the compliance calendar to track important deadlines
  </li>
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   Support the annual custody and SOC 1 audits with accurate documentation and coordination
  </li>
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   Manage the firm's pre-clearance policies, providing guidance and responding to employee inquiries
  </li>
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   Monitor trading activities, investigate alerts, and resolve violations
  </li>
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   Keep track of and communicate updates related to restricted securities and compliance policies
  </li>
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   Maintain accurate compliance records, documentation, and databases
  </li>
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   Generate reports on key compliance activities and ensure data accuracy
  </li>
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   Stay informed on regulatory changes, communicating and implementing updates across teams
  </li>
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   Liaise with internal personnel, external service providers, and regulatory agencies as needed
  </li>
  <li>
   Assist with miscellaneous compliance and risk mitigation activities
  </li>
  <li>
   Review and recommend process improvements to strengthen adherence to laws, regulations, and policies
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Requirements:
  </strong>
 </p>
 <ul>
  <li>
   2 to 4 years of experience in compliance within legal, investment advisory, broker-dealer, banking, or fiduciary services settings
  </li>
  <li>
   Bachelor&rsquo;s degree or higher, with relevant professional experience
  </li>
  <li>
   Familiarity with the Investment Advisers Act of 1940 (preferred)
  </li>
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   Knowledge of fiduciary trust operations or investment businesses (preferred)
  </li>
  <li>
   Understanding of banking laws, including anti-money laundering and the bank secrecy act (preferred)
  </li>
  <li>
   Awareness of privacy laws and related regulations (preferred)
  </li>
  <li>
   IACCP&reg; designation is a plus
  </li>
  <li>
   Strong written and verbal communication skills with the ability to exercise tact and professionalism
  </li>
  <li>
   Advanced proficiency with Microsoft Office Suite, with adaptability to new software applications
  </li>
  <li>
   Proven capacity to take ownership of tasks and meet challenging deadlines
  </li>
  <li>
   Excellent attention to detail with effective follow-up abilities
  </li>
  <li>
   Self-motivated with strong organizational skills and the ability to work efficiently under pressure
  </li>
  <li>
   Exceptional interpersonal skills and a customer-focused mindset
  </li>
  <li>
   Analytical mindset with excellent proofreading capabilities
  </li>
  <li>
   Discretion and sound judgment in handling sensitive information
  </li>
  <li>
   High energy, enthusiasm for learning, and a professional demeanor
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Our Commitment to Inclusion &amp; Belonging
  </strong>
 </p>
 <p>
  The Hollister Group is an equal opportunity employer. We welcome and encourage applications from people who are under-represented in their respective occupation or position.
 </p>
</div>


Compliance Associate

One80 Intermediaries

<div><p>The Compliance Associate (&ldquo;CA&rdquo;) is responsible for gathering, preparing and maintaining client data and preparing client specific reporting requirements for different captive programs throughout the company. The CA will need to track and coordinate between various departments to prepare client specific forms. The CA will monitor and plan throughout the year to ensure all required forms are prepared on time in accordance with reporting deadlines. The CA must be creative and enjoy working within an entrepreneurial environment that is mission-driven, results-driven and community oriented. The CA will support functions associated with the Compliance Department on a wide variety of activities and Compliance related projects.</p><p></p><p><b>
Roles &amp; Responsibilities:</b></p><ul><li>
Review and prepare client specific forms required for tax filing purposes, including Form 8886, Form 8275 and additional forms, as required</li><li>
Track progress of form preparation to ensure timely filing requirements are met</li><li>
Assist with data gathering, analysis and submission for compliance purposes</li><li>
Enter data into client management software to track progress</li><li>
Periodically interface with clients/brokers regarding client specific state and federal reporting requirements</li><li>
Assist with the implementation and coordination of any new compliance processes</li><li>
Coordinate document requests, procedure changes, and other quality projects.</li><li>
Compile various reports for the Compliance Department</li><li>
Participate in various compliance projects, as requested</li></ul><p></p><p><b>
Qualifications:</b></p><ul><li>
Practical experience within the insurance industry in a Compliance role preferred but not required.</li><li>
Comprehensive knowledge of relevant software: Windows, Word&reg;/ Excel&reg;/ Powerpoint.</li><li>
Professional, flexible, team player with acute attention to detail/ excellent organizational skills and a passion for working cross-functionally</li><li>
Skilled in tracking and monitoring workflow, deadlines, and performance metrics</li><li>
Ability to effectively communicate, both verbal and written, with all levels in the organization</li><li>
Proactive and dynamic personality with superior communication skills (written, verbal and presentation)</li><li>
Ability to follow instructions and to work both independently and within a team environment</li><li>
Ability to work in a fast-paced environment, prioritizing multiple time-sensitive projects</li><li>
Proven ability to handle confidential information with discretion</li><li>
Demonstrated ability to prioritize responsibilities</li><li>
Ability to adhere to confidentiality expectations</li><li>
Strong decision-making and problem-solving skills</li><li>
Excellent communication skills, including written, verbal and presentation.</li></ul><p></p><p><i>
Oxford Risk Management Group, LLC was founded in 2010 and continues to provide the highest caliber of captive insurance in the nation. We excel in offering various claims services tailored to Enterprise Risk Management and Limited Lines Captive programs.</i></p><p></p><p><b>
Pay Range:</b></p>
$24.90 - $31.00 Hourly<p></p><p><i>
The pay range provided above is made in good faith and based on our lowest and highest annual salary or hourly rate paid for the role and takes into account years of experience required, geography, and/or budget for this role.</i></p><p></p><p>
One80 Intermediaries is an equal opportunity workplace and is committed to ensuring equal employment opportunity without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, Veteran status, or other legally protected characteristics.</p><p>
Learn more about working at One80 Intermediaries by visiting our careers page: www.one80.com/careers.</p><p></p><p>
Personal information submitted by California applicants in response to a job posting is subject to One80's California Job Applicant Privacy Notice .</p></div><p></p>

Risk Strategies

Contour Software

<div><p><b>About Contour</b></p><p></p><p>
Contour Software has grown from a dozen people to over 2,000 staff across 3 cities, in less than 14 years.</p><p><br>
As a subsidiary of Constellation Software Inc., we are proud to be part of a global enterprise software conglomerate that has grown to become one of the top 10 software companies in the world, with employees and customers in 100+ countries. With a broad-based and ever-growing portfolio of market-leading, vertical-market enterprise solutions covering more than 100 industry domains in predominantly mature markets, CSI's recipe creates the perfect environment for professionals to build fulfilling, long-term careers.</p><p><br>
What started as an R&amp;D &amp; Accounting back-office, has progressed into a full-service Global Centre serving all functions and departments, at the divisional as well as operating group/corporate level. Today Contour employees, located in Karachi, Lahore &amp; Islamabad, are serving CSI divisions located in time zones spanning the globe, from Sydney to Vancouver. With the global growth of Constellation as the wind in our sails, we are only just getting started!</p><p></p><div><p><b>
Division:</b></p></div><div><p><b>
Constellation Data Labs</b>, part of the Constellation Perseus Operating Group, is a real estate marketing technology company that delivers industry-leading solutions including real estate websites, mobile technologies, interactive voice response systems, and marketing services for home builders. The division focuses on providing innovative digital solutions that help real estate professionals enhance their online presence and streamline marketing operations.</p></div><div><p><br>
Division Link: https://cdatalabs.com</p></div><div><p><br>
We are seeking a proactive and detail-oriented <b>Data Compliance Associate</b> to join our team. In this role, you will support data onboarding and compliance processes by coordinating with MLS organizations and other data vendors, maintaining accurate client records, and ensuring data quality across supported systems. The ideal candidate thrives in a fast-paced, team-oriented environment and demonstrates strong analytical thinking, communication skills, and a commitment to maintaining high-quality data standards.</p></div><div><p><b><br>
Key Responsibilities:</b></p></div><div><ul><li><br>
 <b>Data Onboarding &amp; Offboarding:</b> Coordinate with MLS organizations and data vendors to facilitate smooth onboarding and offboarding of data sources.</li><li> <b>CRM &amp; Data Management:</b> Maintain updated records of clients and vendors across internal CRM systems supporting various business units.</li><li> <b>Case Documentation:</b> Maintain detailed and accurate case notes for all interactions with customers and vendors to ensure proper documentation and traceability.</li><li> <b>Issue Identification &amp; Escalation:</b> Proactively identify operational or compliance-related issues and escalate them with recommendations to management.</li><li> <b>System &amp; Workflow Support:</b> Utilize shared mailboxes, multiple CRM platforms, Microsoft SharePoint, and remote systems to manage onboarding and offboarding workflows.</li><li> <b>Financial Data Review:</b> Analyze monthly financial reports and compare actual figures with expected numbers to ensure accuracy.</li><li> <b>Variance Reconciliation:</b> Investigate and reconcile routine variances between expected and actual financial results using historical data.</li><li> <b>Escalation of Discrepancies:</b> Identify and escalate significant variances for additional review and resolution.</li><li> <b>Reporting &amp; Billing Support:</b> Compile client reports to assist with billing analysis and financial reporting processes.</li></ul></div><div><p><b><br>
Required Skills &amp; Experience:</b></p></div><div><ul><li><br>
 <b>Microsoft Office Proficiency:</b> Strong working knowledge of Microsoft Excel, Outlook, and SharePoint.</li><li> <b>Customer Service Experience:</b> Experience handling customer or vendor communication through email-based support.</li><li> <b>Communication Skills:</b> Excellent written communication skills with the ability to explain issues clearly and professionally.</li><li> <b>Analytical Thinking:</b> Strong logical reasoning and a methodical approach to identifying and solving problems.</li><li> <b>Attention to Detail:</b> High level of accuracy and strong organizational skills when managing data and documentation.</li><li> <b>Task Prioritization:</b> Ability to prioritize multiple responsibilities in a fast-paced operational environment.</li><li> <b>Team Collaboration:</b> Strong team player who can also take ownership of assigned tasks and responsibilities.</li></ul></div><div><p><b><br>
Desired Skills &amp; Experience:</b></p></div><div><ul><li><br>
 <b>Vendor Relationship Management:</b> Ability to build and maintain professional relationships with vendors through effective written communication.</li><li> <b>Financial Reconciliation Exposure:</b> Experience reviewing financial data and performing variance analysis <i>(optional)</i>.</li><li> <b>CRM Platform Experience:</b> Familiarity with working across multiple CRM systems and shared mailbox management <i>(optional)</i>.</li><li> <b>Self-Motivated Approach:</b> Resourceful, proactive, and eager to learn new processes while contributing knowledge to the team.</li><li> <b>Problem-Solving Mindset:</b> Ability to remain calm under pressure while focusing on practical and effective solutions.</li></ul></div><p></p><div><p><b><br>
Work Environment &amp; Shift Timings:</b></p></div><div><ul><li> <b>Standard Shift:</b> 8:00 AM &ndash; 5:00 PM Central Standard Time (7:00 PM &ndash; 4:00 AM Pakistan Standard Time)</li><li> <b>Work Setting:</b> Fast-paced, collaborative team environment requiring strong communication, attention to detail, and effective time management.</li></ul></div><p><b>
Exciting Benefits we offer:</b></p><ul><li><p>
Market-leading Salary</p></li><li><p>
Medical Coverage &ndash; Self &amp; Dependents</p></li><li><p>
Parents Medical Coverage</p></li><li><p>
Provident Fund</p></li><li><p>
Employee Performance-based bonuses</p></li><li><p>
Home Internet Subsidy</p></li><li><p>
Conveyance Allowance</p></li><li><p>
Profit Sharing Plan [Tenured Employees Only]</p></li><li><p>
Life Benefit</p></li><li><p>
Child Care Facility</p></li><li><p>
Company Provided Lunch/Dinner</p></li><li><p>
Professional Development Budget</p></li><li><p>
Recreational area for in-house games</p></li><li><p>
Sporadic On-shore training opportunities</p></li><li><p>
Friendly work environment</p></li><li><p>
Leave Encashment</p></li></ul><p></p><p><b><i>
Disclaimer:</i></b><i> At Contour, we attribute our success to the unique contributions of our diverse staff. We&rsquo;re committed to fostering a culture of respect that thrives on the varied perspectives and experiences of all individuals we recruit, employ, promote, and compensate. Since day one, we&rsquo;ve adhered to a policy that champions a work environment honoring the worth and dignity of each person while being free from all forms of employment discrimination.</i></p><p></p><p><i>
In our continuous effort to promote inclusivity, we extend our commitment to individuals with special needs by providing reasonable accommodations. We actively encourage qualified individuals with special needs to apply for the various openings within our company. Should you require assistance in completing the application process or have any inquiries regarding special facilities, please do not hesitate to contact our HR team. Your unique talents and abilities are welcomed and valued here.</i></p></div><p></p>

Data Compliance Associate

Kentucky State University

<div><div><b>TITLE:</b><b> </b>Research Compliance and Development Associate</div><div><b>
DEPARTMENT:</b><b> </b>Grants and Sponsored Programs</div><div><b>
REPORTS TO:</b><b> </b>Director of Sponsored Programs</div><div><b>
CLASSIFICATION:</b><b> </b>Staff-12 months</div><div><b>
EFFECTIVE DATE:</b><b> </b>TBD</div><div><b>
STANDARD WORK HOURS:</b><b> </b>37.5 hours per week</div><div><b>
LOCATION</b>: On-Site-Main Campus</div><div><b>
EMPLOYMENT STATUS:</b><b> </b>Full-Time</div><div><b>
EMPLOYMENT CLASSIFICATION:</b><b> </b>Exempt</div><div></div><div><b><br>
JOB SUMMARY:</b></div><div></div><p><br>
The Office of Research and Innovation (ORI) at Kentucky State University (KSU) serves the campus faculty across all campus disciplines, schools, and departments, with the overarching mission to ensure grant proposals are compelling and competitive and to streamline the proposal development process. ORI is seeking a Research Compliance and Development Associate (RCDA) to oversee research compliance for the Institutional Review Board (IRB), Institutional Animal Care and Use Committee (IACUC), and other aspects of research compliance such as Export Control, Responsible and Ethical Conduct of Research, and Conflict of Interest. This position will also assist with pre-award duties as time permits.</p><div></div><div><br>
This position will also support faculty by supporting the development and submission of competitive grant proposals to federal and non-federal sponsors. Under the supervision of the Director of Sponsored Programs, the RCDA will have a working knowledge of funding agencies such as the US Department of Agriculture, National Science Foundation, Department of Energy, and others, and will provide guidance and support in funding agency outreach, team building, and all steps in proposal development. The RCDA will develop templates, tools and guidance documents to support proposal development, edit and provide feedback on the alignment of the proposal narrative and related documents with the grant solicitation, contribute to training workshops related to proposal development, and support strategic initiatives within ORI.</div><div></div><div><br>
The RCDA will also participate in the development of policies, guidance documents, and instructional resources for faculty and students to manage compliance programs within ORI (i.e., Institutional Review Board [IRB] and Institutional Animal Care and Use Committee [IACUC]). The RCDA will collaborate with the Director of Sponsored Programs to expand research support capacity at KSU and improve ORI efficiency to make it an effective resource, with the goal of increasing the number and amount of sponsored research grants received by KSU.</div><div></div><div><b><br>
SCOPE OF RESPONSIBILITY:</b></div><div><ul><li>
Develop a thorough understanding of federal regulations that govern human subjects research and animal care and use in research to advance the mission of ethical research through policy development, education, and effective oversight.</li><li>
Advise faculty on regulatory requirements related to human subjects research and animal care and use in research.</li><li>
Serve as the primary liaison between the research community at KSU and the IRB and IACUC committees.</li><li>
Understand sponsor priorities and requirements; and provide both strategic and tactical support through the entire proposal development lifecycle.</li><li>
Develop knowledge of funding agency proposal review criteria and peer review processes and acquire and maintain a detailed understanding of the expectations, timelines, formats, and processes required by each agency.</li><li>
Establish good working relationships and collaborate with faculty, researchers, and administrative grant staff to support the development of competitive proposals in response to requests for applications (RFAs), solicitations, and notices of funding opportunity (NOFOs) from federal and non-federal sponsors.</li><li>
Support faculty by developing and maintaining proposal development resources, and work closely with faculty, staff and external partners in developing, editing, and reviewing proposals to federal and non-federal sponsors.</li></ul></div><div></div><div><b><br>
ESSENTIAL JOB FUNCTIONS:</b></div><div><ul><li>
Coordinates and facilitates IRB and IACUC meetings, communications, and protocol reviews; assists faculty in issues related to human subjects research and/or animal care and use in research; develops resources to facilitate the efficient functioning of the compliance committees.</li><li>
Conduct pre-reviews of IRB and IACUC submissions for accuracy and completeness.</li><li>
Maintain records of all grants and contracts involving human subjects research and institutional animal care and use.</li><li>
Stays updated on the current federal funding landscape; track trends in federal programs and funded proposals; stay abreast of changes in grant preparation and submission guidelines; prepare briefs for faculty, as needed</li><li>
Reviews notices of funding opportunity (NOFOs) for eligibility and submission requirements, key dates, budget and cost sharing requirements, and assist with the pre-award process as time permits.</li><li>
Engages in ongoing professional development by participating in industry workshops, proposal management certification programs, and other opportunities to stay current on best practices and improve skills.</li></ul></div><div></div><div><b><br>
KNOWLEDGE, SKILLS, AND ABILITIES REQUIRED:</b></div><div><ul><li>
Ability to manage multiple projects simultaneously and meet strict deadlines.</li><li>
Ability to seek and synthesize information and communicate in a compelling and succinct way.</li><li>
Strong organizational skills to keep track of application deadlines, submission processes, and follow-up activities.</li><li>
Knowledge of federal funding landscape (e.g., NSF, USDA, DOE) and of distinctions in agency funding mechanisms and priorities.</li><li>
Knowledge of distinctions in review criteria and review processes for grants to different federal agencies.</li><li>
Knowledge of the regulatory oversight of animal and human subjects research (i.e., IRB and IACUC)</li><li>
Certified IRB Professional (CIP) preferred.</li><li>
Experience with compliance oversight and research development preferred.</li><li>
General knowledge of sponsored award budgeting and research administration.</li></ul></div><div></div><div><b><br>
SUPERVISORY RESPONSIBILITY:</b></div><div><ul><li>
This position does not have supervisory responsibility.</li></ul></div><div></div><div><b><br>
OTHER DUTIES:</b></div><div><ul><li>
Other related duties as assigned.</li></ul></div><div></div><div><b><br>
QUALIFICATIONS:</b></div><div><ul><li>
Bachelor&rsquo;s degree in relevant field or equivalent combination of work experience in lieu of degree.</li><li>
Minimum of 3-5 years of working experience in a college or university setting.</li><li>
Comfort with regular interaction with senior administration and faculty.</li><li>
Previous experience working in a higher education setting.</li></ul></div><div></div><div><b><br>
Licensing and Certifications:</b> NA</div><div></div><div><b><br>
WORKING CONDITIONS:</b></div><div><ul><li>
Work requires extended periods of sitting, talking, and computer use.</li><li>
Must occasionally lift and/or move up to 25 pounds.</li><li>
Specific vision abilities required include close vision and the ability to adjust focus.</li><li>
Work is primarily performed in an office setting with regular interaction with faculty, staff, and administrators.</li><li>
May require occasional attendance at workshops, training sessions, or meetings outside of regular business hours.</li></ul></div><div></div><div><b><i><br>
Applicants must be authorized to work for any employer in the United States. At this time, Kentucky State University is unable to sponsor or take over sponsorship of an employment visa</i></b></div><div></div><div><br>
Internal candidates are encouraged to apply.</div><div></div><div><b><i><br>
KENTUCKY STATE UNIVERSITY is an Equal Opportunity Employer</i></b></div><div><i>
The functions, qualifications, knowledge/skills, and physical requirements listed in this job description represent the essential duties of the job, which the incumbent must be able to perform either with or without reasonable accommodation. The Job Functions listed do not necessarily include all activities that the individual may perform.</i></div></div><div></div>

Research Compliance & Development Associate

Goldman Sachs

<div><div><div><div><div><div><div><p><b>Global Compliance</b></p>
<p>
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm&rsquo;s culture of compliance. Compliance accomplishes these through the firm&rsquo;s enterprise-wide compliance risk management program. As an independent control function and part of the firm&rsquo;s second line of defense, Compliance assesses the firm&rsquo;s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm&rsquo;s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.</p>
<p><b>
Financial Crime Compliance- Government Sanctions Group</b></p>
<p>
Goldman Sachs is seeking an Associate in the firm&rsquo;s Government Sanctions Group. As part of the firm&rsquo;s Global Compliance Division, the Government Sanctions Group ensures the firm&rsquo;s compliance with sanctions programs administered by the Office of Foreign Assets Control (OFAC) at the U.S. Department of the Treasury, the Office of Financial Sanctions Implementation (OSFI) at the UK&rsquo;s His Majesty&rsquo;s Treasury, the European Union, and other relevant sanctions authorities globally. Reporting to a Sanctions manager in Salt Lake City, the employee will serve as a subject matter expert on government sanctions and assist in the oversight of the firm&rsquo;s enterprise-wide sanctions screening and other control processes.</p>
<p>
The ideal candidate would have one to two years of previous sanctions experience, proven time management skills, a strong attention to detail, written and oral communication skills, investigative skills, and the ability to collaborate within a team. The employee will assist in the identification of sanctions risk across the firm&rsquo;s lines of business and work with regional Compliance, Operations, and Technology teams to administer and provide oversight of risk mitigation processes.</p>
<p>
Principal Responsibilities:</p>
<ul><li>
Assist management and coordination of the team&rsquo;s day-to-day reference data screening process, ensuring smooth, prompt, and accurate execution</li><li>
Conduct reviews of sanctions alerts that result from the firm&rsquo;s transaction and reference data sanctions screening processes</li><li>
Using internal GS and third-party research tools, initiate and pursue investigations to resolve complex alerts</li><li>
Working under the supervision of experienced Sanctions Vice Presidents, liaise with business, operations, and technology divisions to collect information relevant to potential sanctions concerns and provide sanctions-related advice to internal constituencies</li><li>
Ensure metrics, deadlines, and record-keeping obligations established by management are met</li><li>
Assist in the development and enhancement of sanctions-related policies and procedures documents across the firm&rsquo;s lines of business</li><li>
Enhance and deliver sanctions training to Goldman Sachs employees</li></ul>
<p>
 Basic Qualifications:</p>
<ul><li>
Bachelor's degree</li><li>
Strong written and oral communication skills</li><li>
Ability to handle multiple priority projects at once and deliver consistently high quality results</li><li>
Ability to be a self-starter and to ensure projects are followed through to completion</li><li>
Strong proficiency with Microsoft Excel, and an aptitude for learning new systems and applications</li><li>
Team oriented</li>
Sanctions-related experience in the financial services industry or relevant government agency/regulator<br>
<li>
</li></ul><p>ABOUT GOLDMAN SACHS<br>
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.</p>
<p>
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. about our culture, benefits, and people at GS.com/careers.</p>
<p>
We&rsquo;re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. : https://www.goldmansachs.com/careers/footer/disability-statement.html</p>
<p>
&copy; The Goldman Sachs Group, Inc., 2023. All rights reserved.</p>
<p>
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity</p></div></div></div></div></div></div><div><div><div><div><div><b>
We Offer Best-In-Class Benefits</b></div></div></div><p></p><div><div><div><div><div><div><div>
Healthcare &amp; Medical Insurance</div></div><p>
We offer a wide range of health and welfare programs that vary depending on office location. These generally include medical, dental, short-term disability, long-term disability, life, accidental death, labor accident and business travel accident insurance.</p></div></div></div></div><p></p><div><div><div><div><div><div>
Holiday &amp; Vacation Policies</div></div><p>
We offer competitive vacation policies based on employee level and office location. We promote time off from work to recharge by providing generous vacation entitlements and a minimum of three weeks expected vacation usage each year.</p></div></div></div></div><p></p><div><div><div><div><div><div>
Financial Wellness &amp; Retirement</div></div><p>
We assist employees in saving and planning for retirement, offer financial support for higher education, and provide a number of benefits to help employees prepare for the unexpected. We offer live financial education and content on a variety of topics to address the spectrum of employees&rsquo; priorities.</p></div></div></div></div><p></p><div><div><div><div><div><div>
Health Services</div></div><p>
We offer a medical advocacy service for employees and family members facing critical health situations, and counseling and referral services through the Employee Assistance Program (EAP). We provide Global Medical, Security and Travel Assistance and a Workplace Ergonomics Program. We also offer state-of-the-art on-site health centers in certain offices.</p></div></div></div></div><p></p><div><div><div><div><div><div>
Fitness</div></div><p>
To encourage employees to live a healthy and active lifestyle, some of our offices feature on-site fitness centers. For eligible employees we typically reimburse fees paid for a fitness club membership or activity (up to a pre-approved amount).</p></div></div></div></div><p></p><div><div><div><div><div><div>
Child Care &amp; Family Care</div></div><p>
We offer on-site child care centers that provide full-time and emergency back-up care, as well as mother and baby rooms and homework rooms. In every office, we provide advice and counseling services, expectant parent resources and transitional programs for parents returning from parental leave. Adoption, surrogacy, egg donation and egg retrieval stipends are also available.</p></div></div></div></div><p></p><div><div><div><div><div><div>
Benefits at Goldman Sachs</div></div><p>
Read more about the full suite of class-leading benefits our firm has to offer.</p></div></div></div></div></div></div></div></div><div></div>
<br><p>Opportunity Overview
CORPORATE TITLE
Associate
OFFICE LOCATION(S)
Salt Lake City
JOB FUNCTION
Financial Crime Controls
DIVISION
Compliance Division</p>

Compliance-Financial Crime Compliance, Government Sanctions, Associate, Salt Lake City

JPMorganChase

<div><b>JOB DESCRIPTION</b><p><br>
We are seeking a detail-oriented and proactive Associate to join the KYC CIB Riyadh Branch Middle Office, supporting client onboarding and lifecycle management for Saudi Arabia&ndash;domiciled clients.
</p><p>This role is responsible for the execution and coordination of end-to-end KYC activities for branch-managed clients, ensuring compliance with local regulatory requirements (including SAMA) and internal policies. The Associate will work closely with Client, Front Office, Compliance, and Operations teams to deliver timely onboarding, high-quality KYC files, and a strong client experience.
</p><p><b>Job responsibilities
</b></p><ul><li>Execute end-to-end KYC processes for Saudi clients, including onboarding, periodic reviews, trigger events, and remediation.
</li><li>Ensure KYC documentation and data are accurate, complete, and compliant with internal standards and local regulatory requirements.
</li><li>Manage case progression within agreed SLAs, proactively following up on outstanding information.
</li><li>Identify and escalate KYC risks, data gaps, or complex structures to senior management and Compliance where required.
</li><li>Support KYC processes in line with SAMA regulations and local KYC/AML requirements.
</li><li>Maintain strong awareness of Saudi market practices, legal entity types, and ownership structures.
</li><li>Assist with responses to internal audits, compliance testing, and regulatory reviews relating to the Riyadh branch.
</li><li>Support initiatives to enhance KYC efficiency through process improvements, standardisation, and digitalisation.
</li><li>Participate in testing and implementation of KYC systems, workflow tools, and automation initiatives.
</li><li>Act as a day-to-day point of contact for Front Office, Compliance, Operations, and Technology teams within the Riyadh branch.
</li><li>Provide clear and timely updates on KYC status, risks, and outstanding requirements.
</li><li>Support preparation of management information (MI) and reporting for branch governance forums.
</li><li>Work collaboratively within the KYC team, sharing best practices and supporting team objectives.
</li><li>Demonstrate ownership and accountability for assigned client portfolios and deliverables.
</li><li>Support a culture of quality, control, and continuous improvement.
</li></ul><p></p><p><b>Required qualifications, capabilities, and skills
</b></p><ul><li>Bachelor&rsquo;s degree required (Finance, Business, Economics, Law, or related field preferred).
</li><li>Experience in KYC, client onboarding, middle office, or AML-related roles within financial services.
</li><li>Solid understanding of KYC/AML regulations and client due diligence requirements.
</li><li>Familiarity with KYC systems, document management tools, and workflow platforms.
</li><li>Ability to work effectively with Front Office and Compliance in a regulated environment.
</li><li><b>Strong written and verbal communication skills in Arabic and English is a must.
</b></li><li>Strong organisational skills with high attention to detail.
</li><li>Confidence in escalating issues and managing deadlines.
</li><li>Proactive, disciplined, and able to perform under time pressure.
</li><li>Strong risk awareness with a client-focused mindset.
</li><li>Willingness to learn and grow within the KYC and CIB environment.
</li></ul><p></p><p><b>Preferred qualifications, capabilities, and skills
</b></p><ul><li>Experience supporting Saudi clients or working within a KSA-regulated environment is highly desirable.
</li><li>Exposure to CIB, wholesale banking, or branch-based client coverage is a plus.
</li><li>Experience with process improvement or digital initiatives is an advantage.
</li></ul><b>ABOUT US</b><br>
<br>
J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world&rsquo;s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.<br>
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<div>We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants&rsquo; and employees&rsquo; religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.<br>
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<b>ABOUT THE TEAM</b><br>
<br>
J.P. Morgan&rsquo;s Commercial &amp; Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial &amp; Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.</div>

WKO Saudi Arabia Middle Office Associate - Riyadh Branch

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WKO Saudi Arabia Middle Office Associate - Riyadh Branch