Compliance Senior Associate Job at Daley and Associates (Boston)

Senior Associate Compliance Governance

The role involves responsibilities in compliance governance, legal oversight, an...

Location

India , Trivandrum

Salary:

Not provided

Allianz

Expiration Date

Until further notice

Requirements

Graduate in Law
Communication skills
Learning Agility
Analytical Skills
Personal Effectiveness
MS Excel
MS Word
Legal background
Bachelor/Master degree in Legal
Minimum 2-4 years of professional experience in compliance or internal auditing, preferably in insurance, financial services industry and/or in Risk Management or Consulting

Fulltime

Senior Associate, Compliance

Heitman is currently looking for a Senior Associate to join our Compliance team ...

Location

United States , Chicago

Salary:

85000.00 - 100000.00 USD / Year

Heitman

Expiration Date

Until further notice

Requirements

2-4 years of compliance related experience within private equity, public equities, investment management, or financial institutions
Possess high attention to detail with an ability to effectively manage multiple deadlines
Highly motivated, intelligent, hardworking, team player with proven excellence in prior endeavors
Understanding of the investment management business and key processes typical to the industry including back-office processes or fund operations
Demonstrates substantive knowledge of the rules and regulations associated with the Securities Exchange Commission (SEC), the Securities Act Of 1933, the Securities Exchange Act of 1934, and the Investment Company and Investment Advisers Acts of 1940
Strong written and oral communication skills
Intermediate Microsoft Word, PowerPoint, and Excel skills
Positive attitude and ability to build relationships across the business

Job Responsibility

Promote and protect Heitman’s reputation for ethics, integrity and honesty
Hold Code of Ethics orientation meetings for new employees, manage employee certifications, pre-clear personal trade requests, monitor and test employee trading and manage COE logs
Maintain corporate governance for investment and corporate entities, including drafting consents and resolutions
Prepare client-mandated compliance reports/certifications
Prepare and submit regulatory filings, including Form ADV, Form PF, Form 13F, Form N-PX, TIC SLT, and others
Maintain compliance calendar and review/address regulatory changes as directed
Review processes for compliance with contractual provisions of client contracts
Perform periodic tests of procedures and/or transactions to monitor the effectiveness of the compliance programs
Prepare and conduct training programs
Liaise with various groups within the firm and external service providers as needed

What we offer

Competitive compensation
Annual bonus plan
Human-centric benefits package

Fulltime

Senior Compliance Associate

Are you an experienced compliance professional with a strong background in finan...

Location

United Kingdom , London

Salary:

Not provided

Orbis Consultants

Expiration Date

Until further notice

Requirements

Minimum 5 years’ compliance/risk experience within general insurance
Strong knowledge of financial crime regulations and the FCA Handbook
Familiarity with the Lloyd’s market is highly desirable
Experience reviewing and negotiating TOBAs
Detail-oriented, collaborative, and confident in managing competing priorities

Job Responsibility

Conduct sanctions and financial crime checks on new and renewing business
Research UK and international regulatory frameworks, sanctions regimes, and market developments
Review and negotiate TOBAs and other trading agreements
Support horizon scanning and regulatory reporting
Assist with sign-off of financial promotions and marketing materials
Provide training and guidance to business teams

Fulltime

Senior Compliance Associate

Are you an experienced compliance professional with a strong background in finan...

Location

United Kingdom , London

Salary:

Not provided

Orbis Consultants

Expiration Date

Until further notice

Requirements

Minimum 5 years’ compliance/risk experience within general insurance
Strong knowledge of financial crime regulations and the FCA Handbook
Familiarity with the Lloyd’s market is highly desirable
Experience reviewing and negotiating TOBAs
Detail-oriented, collaborative, and confident in managing competing priorities

Job Responsibility

Conduct sanctions and financial crime checks on new and renewing business
Research UK and international regulatory frameworks, sanctions regimes, and market developments
Review and negotiate TOBAs and other trading agreements
Support horizon scanning and regulatory reporting
Assist with sign-off of financial promotions and marketing materials
Provide training and guidance to business teams

Compliance Product Senior Officer - Senior Vice President

Serves as a senior function/business/product compliance risk officer for Indepen...

Location

France , Paris

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

Expertise of Compliance laws, rules, regulations, risks and typologies
Excellent written, verbal and analytical skills
Ability to work collaboratively with regional and global partners in other functional units
Ability to navigate a complex organization
to influence and lead people across cultures at a senior level
Experience in managing regulatory exams and relationships with examiners, auditors, etc.
Awareness of regulatory requirements including local and US laws, international and industry standard
Related certifications desirable
Bachelor’s degree
Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

Job Responsibility

Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM
Translates ICRM strategy and goals across Citi’s clients, products and geographies in a succinct and clear manner
provide direction and guidance on the programs
Serving as a subject matter expert on Citi’s Compliance programs
Provides expert guidance on function/business/product regulations on a real-time basis to manage compliance risk
Overseeing the monitoring and identification of regulatory developments, including enforcement actions, and new laws, regulations, rules, and interpretations or guidance relating to the supported function/business/product
Analysing and scoping the impact of new and complex regulatory developments across senior function/business/product, including cross-border impact
Participating in industry groups and trade association working groups or other forums
Leading initiatives and managing high-impact special project work streams with a results-driven focus to deliver solutions, including coordinating the implementation of new regulatory requirements
Managing strategy and responses to regulatory examinations, reviews and inquiries and internal and external investigations, as well as testing and audit

What we offer

Best-in-class benefits
Global benefits
Equal opportunity and affirmative action employer

Fulltime

Corporate Audit Senior Associate

Amgen is seeking a highly motivated and detail-oriented Senior Associate to join...

Location

India , Hyderabad

Salary:

Not provided

Amgen

Expiration Date

Until further notice

Requirements

Bachelor’s degree in Accounting, Finance, Business Administration, Compliance, or related field
3–6 years of experience in internal audit, compliance, public accounting, or consulting, preferably in the Pharmaceutical/Biotechnology industry

Job Responsibility

Audit Planning & Scoping: Participate in walkthroughs and interviews with process owners and business leaders to understand workflows and risk areas
Assist in conducting Risk assessment by doing preliminary research to understand relevant business processes, regulatory risks, and internal controls
Participate in developing risk-based audit plans (RCM) for functional and U.S. healthcare compliance audits, aligning with corporate objectives and regulatory expectations
Assist in defining audit scope, objectives, timelines, and resource requirements in collaboration with Audit Senior Managers and Compliance partners
Audit Fieldwork & Reporting: Support execution of audits across various corporate functions (e.g., Finance, Legal, HR, Procurement) and U.S. healthcare operations (e.g., commercial field activities, patient support programs, speaker programs, HCP engagements)
Perform detailed testing of transactions, procedures, systems, and controls to assess compliance with Amgen’s policies, SOPs, and relevant laws
Support in evaluating adherence to healthcare laws and regulations such as Anti-Kickback Statute, False Claims Act, PhRMA Code and FDA promotional compliance standards
Identify audit observations, root causes, and business impacts
quantify where applicable
Draft audit workpapers and reports in accordance with internal audit methodology & IIA standards

Senior Associate

Senior Associate role in the Dopkins Tax Advisory Group. The role involves clien...

Location

United States , Buffalo

Salary:

Not provided

Dopkins & Company, LLP

Expiration Date

Until further notice

Requirements

Taking responsibility for client work being performed on time, appropriate scope of services and within budget
Taking responsibility for service quality, thoroughness and accuracy
Staying current on regulatory and industry issues and shares applicable information with others
Managing risk in the client service process by following professional standards
Keeping current with a changing Federal and State regulatory environment
Assessing problem/issue materiality and interpreting the implications for the client
Consistently taking on work outside of “comfort zone”, asking for stretch assignments to develop
Conducting self-review to ensure work is complete and no open issues exist
Demonstrating an understanding of and applying tax planning concepts
Developing the ability to recognize tax issues

Job Responsibility

Client Service and Expertise
Professional Development
Leadership Skills
Growth and Profitability

What we offer

Access to department and Firm leaders at all levels through our open-door policy
Opportunity to serve a wide array of clients, as to size, complexity and industry
Opportunity to advance your career based upon hard work and merit
Close-knit group of young professionals who work well together and with whom you develop friendships
Strong support to develop technical expertise
Be recognized, and also recognize your peers for exceptional service, through the Firm’s internal communications system

Tax Senior Associate

We seek highly motivated entry level accounting professionals to join our dynami...

Location

United States , Miami

Salary:

90000.00 - 115000.00 USD / Year

Gerson, Preston, Klein, Lips, Eisenberg & Gelber, P.A.

Expiration Date

Until further notice

Requirements

Bachelor’s degree in Accounting or Taxation
Master’s degree in taxation is a plus
3.3 GPA or higher
CPA License or eligibility to take CPA exam preferred
Experience using tax preparation software and applications.
Excellent analytical and technical skills
Great communicator with the ability to convey both analysis and findings to management and external clients (verbal and written)
Ability to work in cross-functional, entrepreneurial atmosphere to achieve measurable results and improve existing processes.
Ability to work on multiple projects at a given time.
Motivated to meet client deadlines and provide superior client service

Job Responsibility

Prepare tax returns for individuals, partnerships, and corporations
Prepare tax adjustments to financial statements to prepare returns
Research and stay up to date on tax issues and legislation
Ensure compliance with appropriate state, federal and international tax jurisdictions
Participate in tax planning and research
Initiate and develop relationships with appropriate levels of client’s management team
Maintain active communication with senior leadership to manage expectations, ensure client satisfaction and meet all deadlines

What we offer

401k
Health Insurance
Dental
Vision
Paid Time Off
Wellness Plan
Bonus

Fulltime

Compliance Senior Associate

Daley and Associates

Location:
United States , Boston

Category:
Finance

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:
April 01, 2026

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