Compliance Analyst (Banking) jobs in Colorado
Compliance Analyst (Banking) monitors customer accounts and researches transactions to identify suspicious activity violating current anti-money laundering (AML) regulations defined in the US Bank Secrecy Act (BSA) or other governmental anti-terrorist financing programs. Uses customer data mining and software tools to identify suspicious activity patterns. Being a Compliance Analyst (Banking) reviews daily Currency Transaction Reports (CTR) and Questionable Activity Reports (QAR), and submits Suspicious Activity Reports (SAR) as appropriate. Ensures adherence to Know your Customer (KYC) protocols. Additionally, Compliance Analyst (Banking) may lead or participate in investigations of suspicious activity to pursue corrective actions and ensure completion of required filings. Keeps abreast with regulatory changes, risk management best practices, and trending methods used by fraud perpetrators. Delivers compliance training with up-to-date regulatory information and procedures to develop and guide a well-informed staff. Typically requires a bachelor's degree. May have the Certified Anti Money Laundering Specialist (CAMS) certification. Typically reports to a manager. The Compliance Analyst (Banking) work is closely managed. Works on projects/matters of limited complexity in a support role. To be a Compliance Analyst (Banking) typically requires 0-2 years of related experience. (Copyright 2024 Salary.com)
Recently Added Compliance Analyst (Banking) jobs
Compliance Analyst
- Ultimus Fund Solutions
-
Denver, CO
FULL_TIME
- SUMMARY The Compliance Analyst I is responsible for assisting compliance officers in support of their Rule 38a-1 compliance program obligations for the clients of Ultimus Fund Solutions (UFS.) Additionally, this role may have significant contact with clients and various internal departments of UFS. KEY ACCOUNTABILITIES COMPLIANCE ANALYSIS Maintains and updates the UFS Internal Operating Guidelines as directed for operational related changes. Assists in examination of all fund and advisor-related compliance manuals for recent changes and updates on a weekly basis. Maintains and updates the quarterly reporting checklists and site visit checklists as directed. Assists in analyzing monthly portfolio holding disclosures for UFS clients; includes examining relevancy of timing, content, and audience according to SEC and rating agencies protocols. Reviews and validates SEC compliance calendar for all UFS clients ensuring all required filings are made in a timely manner; aids the Chief Compliance Officers (CCO) by researching any issues and ensuring timely and appropriate corrective action is taken. Conducts and reviews UFS prepared monthly portfolio compliance checklists of UFS clients; reviews for warning and exception activity or changes requiring updates; communicates findings to the appropriate CCO. Prepares and conducts periodic (e.g., daily, monthly, quarterly, and annual) tests to cover monitoring fund and client compliance to the fund prospectus, statement of additional information and regulatory rules. Reviews and analyzes various UFS prepared monthly reports, including rapid trading reports and commission reports for all UFS clients. Reviews and analyzes various adviser prepared reports including cross trades and liquidity reporting. Assists with monitoring, testing and oversight of service providers to fund clients including third-party and UFS transfer agents, distributors, administrators, and investment advisors. Assists with monitoring, testing, and oversight of other third-party service providers including custodians, pricing services, and proxy services. Maintains and updates monthly UFS billing schedules and periodic operation statistics. Maintains UFS client contracts in an organized manager. Coordinates background checks on new advisors and sub-advisors as requested. May conduct annual on-site client visits for funds with simplistic strategies including the review of advisor documentation such as ADV forms, compliance manuals, code of ethics and compliance testing. Assists in responding to SEC and other regulatory examinations and inquiries related to UFS, fund clients and their advisers. Keeps current on regulatory and industry development changes. Participates and assists in various projects. REPORTING AND COMPLIANCE Prepares quarterly board meeting materials and presentations by gathering reports, compiling results, and producing compliance summaries as needed; provides reports to the CCO for final review. Reviews and summarizes board compliance reports as prepared by UFS for compliance with regulatory requirements; suggests edits to CCO as needed. Observes and participates in company Disaster Recovery Plan testing ensuring compliance with regulatory standards. WORKING RELATIOSHIPS Daily contact with internal associates while performing routine compliance testing of policies and procedures. Contact as needed with Service Provider Chief Compliance Officers regarding regulatory requirements. May perform other duties as required and assigned. KNOWLEDGE, SKILLS, AND ABILITIES (KSA’s) KNOWLEDGE Securities rules and regulatory requirements, investment limitations, and operating policies for mutual funds. Microsoft Office Suite. Adobe Acrobat. SKILLS AND ABILITIES Troubleshoots issues utilizing creative and critical thinking skills. Multitasking, analytical, and organizational skills. Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness. Demonstrates personal integrity, responsibility, and accountability. Effectively uses resources such as time and information in conjunction with associates. Participates in solving problems and making decisions. Presents and expresses ideas and information, written and oral, clearly, and concisely. Actively listens to others to achieve understanding and supports an open exchange of ideas and information. Identifies needs, arranges for, and obtains resources to accomplish individual and department goals. Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations. Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion. EDUCATION AND EXPERIENCE Bachelor’s degree in business administration, finance, accounting, or related field. 1 year of general office experience. Experience working in operations or compliance-related functions. Experience working in a mutual fund or a mutual fund service provider. Equivalent education and experience will be considered.
- 18 Days Ago
Compliance Analyst
- Prominds Business Consulting Inc
-
Denver, CO
FULL_TIME
- Job DetailsCompliance AnalystDenver, CO(Onsite position/Hybrid)Long term contractMust-have skills: DevOps, NIST, HIPAA, IRS, CJIS, and others (the more the better), government exp Experience with SDLC...
- 12 Days Ago
Compliance Analyst
- Bright Vision Technologies
-
Denver, CO
FULL_TIME
- Bright Vision Technologies has an immediate opportunity for Compliance Analyst at Denver, CO, US, with minimum 4years of experience.Candidate must have permanent work authorization and work for any em...
- 1 Month Ago
Compliance Analyst
- Snaprecruit.com
-
Denver, CO
FULL_TIME
- Job Title : Compliance AnalystLocation : Denver, CODuration : Permanent HireJob Description :Responsibilities:Review inquiries received and triage as appropriate. For compliance questions, provide tim...
- 1 Month Ago
Credit Analyst - Banking
- Sandias Executive Search
-
Durango, CO
FULL_TIME
- Join a reputable organization, rooted in a century-old legacy of supporting rural communities. They are dedicated to continual growth, providing essential services to businesses and individuals in und...
- 17 Days Ago
Banking Operations Systems Analyst
- Fortis Bank
-
Denver, CO
FULL_TIME
- The Banking Operations Systems Analyst is responsible for assisting bank staff with deep technical support, implementation, and maintenance on banking operations products and services. This critical o...
- 18 Days Ago
Compliance Analyst (Banking) jobs at Popular Companies
Tax Compliance Analyst
- Erickson Senior Living
-
Baltimore, MD
- Location: Erickson Senior Living Erickson Senior Living, headquartered in Baltimore, Maryland is a national provider of ...
- 4/26/2024 12:00:00 AM
Compliance Analyst
- Private Equity Firm
-
New York, NY
- Title: Compliance Analyst Location: New York City, NY Hybrid Work: Role will start in-office four days per week, reducin...
- 4/26/2024 12:00:00 AM
IT Compliance Analyst
- Assa Abloy Group
-
Lake Forest, CA
- We are seeking a highly motivated and detail-oriented IT Compliance Analyst to join our dynamic team at ASSA ABLOY Ameri...
- 4/26/2024 12:00:00 AM
Compliance Analyst
- Apex Systems
-
Juno Beach, FL
- MUST HAVE: Great Communication Skills Attention to Detail Problem Solver Financial Background or Legal Background Unders...
- 4/24/2024 12:00:00 AM
Compliance Analyst
- Tandym Group
-
New York, NY
- A recognized hedge fund in New York City is looking to add a new Compliance Analyst to their growing team. In this role,...
- 4/24/2024 12:00:00 AM
Compliance Analyst
- ConsumerDirect, Inc.
-
Irvine, CA
- ***Local candidates ONLY – this position is on-site Monday – Friday.*** About ConsumerDirect: ConsumerDirect is the peop...
- 4/24/2024 12:00:00 AM
Compliance Analyst
- Mitchell Martin Inc.
-
Jersey City, NJ
- Title: Legal and Compliance Analyst Location: Jersey City, NJ Position Type: Contract SKILLS & EXPERIENCE WE’RE LOOKING ...
- 4/23/2024 12:00:00 AM
Compliance Analyst Sr
- UCHealth
-
COLORADO SPRINGS, CO
- Description Position can be held in Colorado Springs or Denver Summary: Assists with administration of the organization'...
- 4/5/2024 12:00:00 AM
About Colorado
Colorado (/ˌkɒləˈrædoʊ, -ˈrɑːdoʊ/ (listen), other variants) is a state of the Western United States encompassing most of the southern Rocky Mountains as well as the northeastern portion of the Colorado Plateau and the western edge of the Great Plains. It is the 8th most extensive and 21st most populous U.S. state. The estimated population of Colorado was 5,695,564 on July 1, 2018, an increase of 13.25% since the 2010 United States Census.
The state was named for the Colorado River, which early Spanish explorers named the Río Colorado for the ruddy silt the river carried from the mountains. The...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Analyst (Banking) jobs
$50,523 to $71,644