Compliance Specialist translating compliance and NIS2 requirements for energy trading applications. Supporting documentation standards and collaboration in a hybrid work environment.
About the role
- Compliance Analyst supporting U.S. Bank's compliance program for OCIO services. Involves compliance administration and collaboration with internal stakeholders while ensuring regulatory adherence.
Responsibilities
- Support USBAM’s Compliance Program under SEC Rule 206(4)-7 and Investment Company Act of 1940
- Assist in the administration of compliance responsibilities related to the outsourced chief investment officer business
- Serve as a liaison between the Compliance team and the Corporate Code of Ethics team
- Proactively identify potential compliance issues
- Contribute ideas and initiatives to enhance operational effectiveness within the Compliance Program
- Prepare monthly and semi-annual reports
Requirements
- Bachelor's degree, or equivalent work experience
- Typically more than six years of applicable experience
- Working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940
- Familiarity with institutional client standards and separately managed accounts
- Ability to quickly understand business operations, products/services, systems, and associated risks and controls
- Strong written, verbal, and presentation skills
- Effective relationship-building and collaboration abilities
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook, Copilot)
- Comfortable navigating databases, spreadsheets, and presentation tools
- Openness to leveraging artificial intelligence tools for compliance-related tasks
Benefits
- Healthcare (medical, dental, vision)
- Basic term and optional term life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation (from two to five weeks depending on salary grade and tenure)
- Up to 11 paid holiday opportunities
- Adoption assistance
- Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Analista de Conformidade e Riscos na Sabesp, líder em saneamento, identificando e gerenciando riscos operacionais e regulatórios.
Compliance Filings Specialist handling federal and state compliance filings for PrePass. Responsible for accurate submissions and maintaining compliance records.
Senior Compliance Group Manager overseeing compliance functions at TD Bank. Collaborating with senior management to ensure adherence to regulatory compliance programs.
Regulatory Affairs Specialists at Arthrex responsible for managing regulatory approval for medical devices. Join a global medical device company focused on innovative education and development.
Regulatory Affairs Associate at Benjamin Moore responsible for data gathering and compliance with regulations. Evaluating products and raw materials for health and safety standards.
Compliance Lead for Electrification Systems’ Channel Partner portfolio in Asia, partnering with regional and business compliance leaders and teams to support compliance objectives.
EHS Governance Manager supporting Regions globally in compliance and risk management for Project, Services, and Manufacturing activities. Ensuring governance and transparency in operations across industrial or energy environments.
Working student supporting Trade Compliance Data Platform at BASF in data modeling and analysis. Involves structuring data, working with SAP and creating SQL queries.
Compliance Lead managing Electrification Systems’ Channel Partner compliance in Asia. Collaborating with Compliance Leaders and teams to enhance regional compliance objectives.