Compliance Analyst at Embracon monitoring client financial movements, ensuring adherence to anti - money laundering regulations and training programs.
About the role
- Compliance Officer auditing and ensuring company compliance with laws and regulations. Supporting ethical practices and promoting compliance across organizations.
Responsibilities
- Supports and /or performs audits to detect violations of laws and applicable regulations, as well as company policies and procedures
- Investigates misconduct, promotes ethical practices and culture, and evaluates compliance issues / concerns within the organization
- Ensures coordination with other departments aligning compliance activities
- Performs and / or supports audits of compliance with laws and regulations, policies and procedures, contracts and other compliance obligations in accordance with the Compliance Program
- Collaborates with other departments (e.g., Risk Management, Internal Audit, Shared Services, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution
- Consults with Compliance team as needed to resolve difficult compliance issues
- Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures
- Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
- Supports Compliance function activities related to monitoring and reporting on the performance of the Compliance Program and related activities on a continuing basis, taking appropriate steps to improve its effectiveness
- Performs and/or supports special reviews/projects with guidance from the Compliance team, division operations counsel and management
Requirements
- Bachelor's degree or equivalent combination of education and experience
- Compliance, ethics, fraud, or internal audit related certification strongly preferred
- A minimum of 3-5 years of compliance, audit and / or related experience
- Knowledge and some expertise in financial services industry, preferably in insurance, banking, or real estate mortgage services is a plus
- Strong analytical and creative problem-solving skills
- Ability to manage multiple tasks, projects, and competing priorities simultaneously
- Must consistently demonstrate reliability and a strong work ethic
- Basic knowledge of audit process
- Proficient in Microsoft Word, Excel, and PowerPoint
Benefits
- medical
- dental
- vision
- 401k
- PTO/paid sick leave
- employee stock purchase plan
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