Compliance Risk Associate - Anaheim California

Company: VirtualVocations
Location: Anaheim, California
Posted On: 02/05/2025

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 More...

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