Assistant Compliance Officer

Assistant Compliance Officer



San Juan



Assistant Compliance Officer

Detalles de la oferta

Full Time Opportunity 13;

Work Schedule: Monday:Friday 8:00:5:00pm

Must be avaible to work extended hours and weekends.

General Description 13;

Develops, implements and ensures compliance with corporate policies and procedures and follow:up programs for compliance with federal and state laws applicable to the financial services industry, mainly insurance and investments. Develops and reviews policies, procedures, forms or other for the purpose of updating or implementing any amendment to laws, regulations or rules. Coordinates and directs audits, reviews and periodic reviews in the operational and financial areas of Popular Securities to ensure they comply with established rules and procedures. Execute financial indicator (ratios) tests to quantify and check compliance with applicable requirements for a particular unit and/or process. Identify and provide recommendations in those areas that are identified as opportunities to strengthen the design and effectiveness of internal processes and controls.

Essential Duties and Responsibilities 13;

* Analytical capacity to evaluate financial information and internal control systems.
This includes but is not limited to: analysis of financial ratios, securities transactions, among others.

* Knowledge of federal and state financial market laws, securities industry, insurance, trusts, investment companies and / or related activities and their applicability to banking procedures, Commissioner of Financial Institutions of Puerto Rico and Commissioner of Insurance among others.

* Knowledge of insurance products and / or investment, preferable.

* Knowledge in the management of Compliance Programs.

* Ability to collect and analyze information related to compliance with the requirements of the regulatory laws in the operational procedures of the units that offer financial and insurance services.

* Initiative and judgment for problem solving and decision making.

* Must be completely bilingual (English and Spanish).

* Ensures compliance in situations where conflicts of interest arise and takes the necessary measures for an effective solution.

* Promotes teamwork and facilitate change

* Ability to work under pressure.

* Excellent organizational skills for setting priorities, working with multiple tasks simultaneously, and meeting deadlines.

* Excellent interpersonal skills to maintain effective working relationships with peers, internal clients, management, auditors and external examiners.

Education 13;

Completed Bachelors Degree.

Experience 13;

Minimum of 2 years experience in the financial services industry specifically brokerage and / or insurance is a must.

Certifications/Licenses 13;

FINRA Series 7 is a nice to have.

Competencies 13;

Accountability 13;

Analytical Discipline 13;

Business Excellence 13;

Change Agent 13;

Character 13;

Collaboration and Teamwork 13;

Customer Centric 13;

Self Development 13;

Popular Inc., is an Equal Opportunity Employer


Fuente: Tiptopjob_Xml


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