Top 585 Compliance Assistant Jobs

Assistant Compliance Officer
Purshe Kaplan Sterling Investments —Albany, NY
- $50,000 - $58,000 a year
- Full-time
- Background check
- Customer service
- Computer literacy
- Health savings account
- Health insurance
Quick Apply
14d
Office Assistant Operational Auditor
Tailwind Deli News & Gifts Inc —Jackson, WY
- $25 an hour
- Part-time
- Background check
- Clean driving record
- Microsoft Excel
Compliance & Claims Assistant
Sedona Staffing —Davenport, IA
- $20 - $25 an hour
- 8 hour shift
- Mid-level
- Office
- Bachelor's degree
- AD&D insurance
- Disability insurance
Assistant Counsel - Litigation
TKC Holdings —St. Louis, MO
- Full-time
- Hybrid work
- Mid-level
- 3 years
- Military encouraged
- AD&D insurance
- Disability insurance
Mortgage Licensing-Compliance Assistant
Sistar Mortgage —Sterling Heights, MI
- Full-time
- Background check
- Mid-level
- Office
Quick Apply
Executive Assistant for General Counsel
RDV Corporation —Grand Rapids, MI
- 7 years
- Research
- Mid-level
- Paid holidays
- Health insurance
Assistant General Counsel
Everforth —Austin, TX
- Full-time
- US work authorization
- Fair chance
- Senior level
- Health insurance
- Dental insurance
Quick Apply
Assistant to Compliance Officer
Spencer County Bank —Santa Claus, IN
- $15 - $18 an hour
- Full-time
- Microsoft Excel
- Word processing
- Office
- Health savings account
- Dental insurance
Quick Apply
Compliance Administrative Assistant
Page Trucking —Weedsport, NY
- $24 - $25 an hour
- Full-time
- Microsoft Word
- Microsoft Outlook
- Pass drug screening
- Health insurance
- Dental insurance
Quick Apply
Assistant Director of Compliance
Realty Resources Management —Rockport, ME
- Full-time
- 3 years
- Supervising experience
- Bachelor's degree
- Mileage reimbursement
- Paid parental leave
Quick Apply
3d
Assistant General Counsel
White Earth —Ogema, MN
- From $49.18 an hour
- Full-time
- Background check
- Management
- Pass drug screening
- Health insurance
- Dental insurance
Quick Apply
Compliance Assistant
The Schochet Companies —Brockton, MA
- $25 an hour
- Email
- Background check
- Spanish
- Microsoft Excel
- Paid holidays
- Health insurance
Quick Apply
Assistant In-House Counsel
World Wide Sourcing Group, Inc. —Gardena, CA
- $160,000 - $180,000 a year
- Full-time
- Background check
- Writing skills
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
7d
Interim Compliance and Data Assistant
Girls Inc. of Alameda County —Oakland, CA
- $26 an hour
- Full-time
- Microsoft Word
- Background check
- Microsoft Excel
- Health savings account
- Paid holidays
Quick Apply
3d
Assistant General Counsel
College of Southern Nevada —Las Vegas, NV
- $141,254 a year
- Online Application
- Office
- University
- Criminal background check
- Paid holidays
- Health insurance
Assistant Contracts Administrator
Power Plus —Anaheim, CA
- $22 - $24 an hour
- Full-time
- Word processing
- English
- Office
- Health insurance
- Dental insurance
Quick Apply
14d
Assistant General Counsel
Corporate-Student Transportation of America, Inc. —Township of Wall, NJ
- $275,000 - $325,000 a year
- Full-time
- Microsoft Excel
- 5 years
- Mid-level
- Health insurance
- Dental insurance
2d
Assistant Counsel -- Real Estate
New Jersey Schools Development Authority —Trenton, NJ
- $100,000 - $110,000 a year
- Full-time
- Hybrid work
- Doctoral degree
- Analysis skills
- Driver's License
- Relocation assistance
- Health insurance
Quick Apply
Assistant Director of Public Safety and Compliance
Harvis, Inc. —Tobyhanna, PA
- Weekends as needed
- Mid-level
- Team management
- Communication skills
- Health insurance
- Dental insurance
Quick Apply
Assistant General Counsel
VytlOne —Remote
- $240,000 - $259,000 a year
- Full-time
- HIPAA
- Senior level
- Communication skills
- AD&D insurance
- Disability insurance
Quick Apply

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Assistant Compliance Officer

Purshe Kaplan Sterling Investments -
Albany, NY

Quick Apply

Job Details

Full-time
$50,000 - $58,000 a year
14 days ago

Benefits

Health savings account
Health insurance
Dental insurance
401(k)
Flexible spending account
Paid time off
Parental leave
Vision insurance
401(k) matching
Professional development assistance
Life insurance

Qualifications

Interpersonal skills
Finance
Customer service
Spreadsheets
Finance
Bachelor's degree
Attention to detail
Problem-solving
Organizational skills
Financial services
Productivity software
Experience at securities companies
Time management

Full Job Description

Job Title: Assistant Compliance Officer

FLSA Status: Non-Exempt

GENERAL STATEMENT OF DUTIES:

PKS is a leading full-service broker/dealer and financial services firm offering state-of-the-art products and technology to more than 1,600 Registered Representatives (RR) with over 600 offices.

As an Assistant Compliance Officer, you will be responsible for assisting the Compliance department with testing and monitoring. This position will gain an understanding of pertinent regulations and how to meet responsibilities within the Compliance department. Additionally, this position will assist the Chief Compliance Officer in implementing and enforcing the firm’s compliance program by collaborating with all levels of the organization. You will be responsible for helping to ensure compliance with current/developing industry regulations and maintaining and improving the compliance program of the firm where applicable.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

Onboarding, offboarding Register Representatives (RR) via Gateway U4/U5 filing.
Promote and deliver a compliance culture within the firm and assist with staff training on compliance matters.
Assist with regulatory inquiries and branch office inspections and internal audits.
Ability to handle several different tasks at the same time while often meeting tight deadlines.
Assist with compliance testing and monitoring.
Keep abreast of changing compliance laws and regulations and informing compliance staff and management of these changes.
Monitor the status of corrective actions being taken.
Provide compliance technical assistance, training and analysis as necessary.
Assist other departments within the firm with assigned tasks.
Ensure timely processing of all requests and submissions.
Build and maintain effective working relationships with other team members to ensure high-quality service and timely processing of directly held investments.
Bring enthusiasm, resourcefulness, and a positive attitude each day.

QUALIFICATIONS, KNOWLEDGE, AND SKILLS:

Excellent verbal and written communication skills.
Excellent interpersonal and customer services skills.
Excellent organizational skills.
Exceptional time management skills.
Superior attention to detail.
Ability to follow a project through completion.
Self-starter who can work independently.
Team player who can work collaboratively.
Ability to analyze problems quickly and efficiently.
Ability to function well in a high-paced and high-volume environment.
Computer proficiency in Microsoft Office Suite is required.
Prior brokerage industry experience required.
Available to travel (20%-30% maximum per year)
The ideal candidate should possess or have a willingness to sit for SIE exam, Series 7, and Series 63 FINRA licenses and look to advance upwards within the firm.

EDUCATION and/or EXPERIENCE:

Bachelor’s degree from an accredited college or university with emphasis on business, finance or related field with one year’s experience in Customer Service/Financial Accounting preferred.
SIE exam, Series 7, and Series 63 preferred or willingness to obtain the licenses.
Proficient in Microsoft Excel.

CERTIFICATIONS, LICENSES, REGISTRATIONS:

SIE exam, Series 7, and Series 63 preferred or willingness to obtain.

SUPERVISORY RESPONSIBILITIES: None

WORK ENVIRONMENT AND PHYSICAL DEMANDS:

The work environment characteristics and physical demands described are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential job functions of the position. This position operates in a professional office environment. The noise level in the work environment is usually moderate. The role routinely uses standard office equipment such as computers, phones, copiers, and filing cabinets. While performing the duties of this job, the employee is regularly required to sit or be sedentary, Daily activities will require the position to routinely walk, stand, sit, use hands and fingers, handle objects or controls, talk and hear, stand, and reach with hands and arms. Specific vision abilities required by this job include close vision. The employee may be asked occasionally to bend, lift, and/or move up to 40 lbs.

POSITION TYPE AND HOURS:

Full-time, standard workweek, Monday-Friday; 8:30 AM- 5:00 PM

PKS Investments Inc. is an equal opportunity employer that is committed to diversity and inclusion in the workplace. We prohibit discrimination and harassment of any kind based on race, color, sex, religion, sexual orientation, national origin, disability, genetic information, pregnancy, or any other protected characteristic as outlined by federal, state, or local laws. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Job Type: Full-time

Pay: $50,000.00 - $58,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Parental leave
Professional development assistance
Vision insurance

Physical Setting:

Office

Education:

Bachelor's (Preferred)

Experience:

Financial services: 1 year (Preferred)

Ability to Commute:

Albany, NY (Required)

Work Location: In person

Quick Apply

Refine Your Search

Compliance Assistant jobs

Assistant Compliance Officer

Office Assistant Operational Auditor

Compliance & Claims Assistant

Assistant Counsel - Litigation

Mortgage Licensing-Compliance Assistant

Executive Assistant for General Counsel

Assistant General Counsel

Assistant to Compliance Officer

Compliance Administrative Assistant

Assistant Director of Compliance

Assistant General Counsel

Compliance Assistant

Assistant In-House Counsel

Interim Compliance and Data Assistant

Assistant General Counsel

Assistant Contracts Administrator

Assistant General Counsel

Assistant Counsel -- Real Estate

Assistant Director of Public Safety and Compliance

Assistant General Counsel

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