Compliance Risk Associate
Company: VirtualVocations
Location: Anaheim
Posted on: February 4, 2025
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Job Description:
A company is looking for a KIS Surveillance Compliance Associate
to assist in identifying and managing compliance risks.
Key Responsibilities
Provide oversight and surveillance of compliance policies and
procedures
Develop partnerships with various teams to mitigate compliance and
reputational risks
Conduct monitoring and testing of compliance risks and controls,
documenting findings
Required Qualifications
Bachelor's degree in a business-related field
5+ years of experience in risk management and/or
securities/insurance compliance
2-4 years of experience in compliance or related fields within the
securities/banking industry
Strong understanding of regulatory requirements in the retail
broker-dealer and insurance industries
Working knowledge of Microsoft Word, Excel, and PowerPoint
Keywords: VirtualVocations, Malibu , Compliance Risk Associate, Other , Anaheim, California
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