Tech Associate Trainee

The position supports broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and, policies, and to prevent illegal, unethical, or improper business practices within the organization. This role focuses on projects and processes to identify, investigate, and report compliance risks, and identifies and implements efficiencies and technology that support Risk and Compliance processes. This role may also support other Risk and Compliance functions, including reporting, monitoring plan administration, and regulatory change management.

Key Responsibilities and Duties

• Organizes, supports, and performs risk assessments for compliance and operational risks, monitoring, and surveillance activities to identify compliance issues, control concerns, and deficiencies.
• Assists with performing all phases of compliance monitoring and surveillance activities, including data collection, developing the scope, documenting applicable risks and controls, developing reproducible scripts, analyzing and interpreting findings, documenting and tracking issues and observations, and drafting written reports.
• Monitors, tracks, designs, and/ or implements corrective action plans to resolve control issues and to ensure that risk and compliance deficiencies are corrected.
• Identifies and implements preventative measures related to operational risk and compliance processes, revises policies and procedures to improve the general operation of business unit compliance programs.
• Reviews reports on the results of operational risk, compliance and ethics initiatives of applicable business units.
• Assists with administering the firm s process for identifying and addressing regulatory changes that are impactful to the firm
• Synthesizes structured and unstructured data related Risk and Compliance monitoring, testing, issues, regulatory changes, programs, and assessments.
• Supports efforts to identify and implement efficiencies and technology enhancements, such as automation and robotics, to support Risk and Compliance processes. Liaises with Compliance and IT teams as needed

Educational Requirements

• High School Preferred

Work Experience

• No Experience Required; 2+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work