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Kforce has a client in search of a Compliance Analyst 4 in San Ramon, CA.Key Tasks:
Communicate regulatory information to multiple departments and ensure that information is interpreted correctly
Maintain documentation of compliance activities, such as complaints received or investigation outcomes
File appropriate compliance reports with regulatory agencies
Conduct or direct the internal investigation of compliance issues
Identify compliance issues that require follow-up or investigation
Report violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required
Conduct periodic internal reviews or audits to ensure that compliance procedures are followed
Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities
Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated
Discuss emerging compliance issues with management or employees
Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes
Advise internal management or business partners on the implementation or operation of compliance programs
Consult with corporate attorneys as necessary to address difficult legal compliance issues
Direct the development or implementation of compliance-related policies and procedures throughout an organization
Monitor compliance systems to ensure their effectiveness
Prepare management reports regarding compliance operations and progress
Provide assistance to internal or external auditors in compliance reviews
Design or implement improvements in communication, monitoring, or enforcement of compliance standards
Assess product, compliance, or operational risks and develop risk management strategies
Bachelor's degree in Business Management, Economics, Finance, Accounting or relevant field required
5 years experience
Verbal and written communication skills, attention to detail and interpersonal skills
Ability to work independently and manage one's time
Strong knowledge of financial regulation
Ability to apply accounting and mathematical principles to work as needed
Previous experience with computer applications, such as Microsoft Word and Excel
Kforce is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, protected veteran status, or disability status.Compensation Type:HoursMinimum Compensation:59.00Maximum Compensation:59.00
Vacancy expired!