Jobs in the United States

25+ jobs

Save this search

Added 1 min ago
Financial Center Manager
Bank of Montreal
Torrance, CA
…Federal registration with the Nationwide Mortgage Licensing System and Registry. The Bank will instruct you on the registration requirements needed to comply with this requirement. A…
Added 1 min ago
Financial Center Manager
Bank of Montreal
City of Industry, CA
…Federal registration with the Nationwide Mortgage Licensing System and Registry. The Bank will instruct you on the registration requirements needed to comply with this requirement. A…
Added 1 min ago
Financial Center Manager
Bank of Montreal
Irvine, CA
Join BMO as a Forward Hire Branch Manager supporting Irvine and surrounding communities. In this role, you will build and lead high-performing teams, drive business growth, deepen customer…
Added 3 mins ago
MS
Sr. Deal Desk Manager
Mitek Systems
Remote, United States
- $130,000 to $150,000 USD / year
We are seeking a commercially astute and operationally strong Sr. Deal Desk Manager to lead Deal Desk and our connected commercial processes. The successful candidate will help structure…
Added 3 mins ago
General manager
Papa Johns
Louisville, KY
The General Manager for Corporate Restaurant Operations manages and assumes responsibility for all functions of a Papa Johns restaurant to ensure restaurant profitability. This is…
Added 4 mins ago
Engineering Manager, Weave - W&B
CoreWeave
San Francisco, CA
The Weave team owns the design, implementation, and operation of its high-scale agent tracing services, offline evaluation APIs, and online monitoring capabilities to automatically detect…
Added 5 mins ago
Senior Manager, F&B Operations
Big Cedar LLC
Ridgedale, MO
The Food & Beverage Senior Operations Manager is responsible for driving operational excellence, brand standards compliance, and cross-departmental coordination across all Food & Beverage…
Added 5 mins ago
GG
GGU One Contact Center Operations Manager (47293)
GOLDEN GATE UNIVERSITY
Remote, United States
- $110,000 to $140,000 USD / year
Position Title: GGU One Contact Center Operations Manager
Added 6 mins ago
Staff Workday HRIS Technical Analyst
Checkr
San Francisco, CA
…provisioning); identify and eliminate manual workflows through system-driven…
Added 6 mins ago
Senior Software Engineer (Ruby/Rails), MVR
Checkr
San Francisco, CA
As a Senior Software Engineer on the MVR team, reporting to the Engineering Manager, you will build and evolve the systems that power Checkr's motor vehicle record screenings, helping…
Added 6 mins ago
Treasury Product Support Manager
Texas Gulf Bank
Houston, TX
The Treasury Product Support Manager works collaboratively across the Bank to ensure assigned products are delivered securely and efficiently while providing a positive customer experience.…
Added 6 mins ago
PATIENT EXPERIENCE MANAGER - GREENVILLE, SC
Compass Group
GREENVILLE, SC
Responsible for successfully coordinating and directing all patient experience activities within the assigned system. Monitors ongoing, and selectively negotiates as needed, matters…
Added 7 mins ago
Project Engineer
Axiom Space
United States
…responsible for supporting the design and development of Crew system products for the first commercial space station. This role is onsite and reports to the Project Engineering…
Added 8 mins ago
Senior Product Designer
Dscout
Remote, United States
Design system governance: Proven experience building, maintaining, and governing design systems in direct partnership with engineering, including keeping components, design tokens, and…
Added 9 mins ago
Infrastructure Administrator
WHITEFISH CREDIT UNION ASSOCIATION
Kalispell, MT · Missoula, MT
Organizational Relationships: Reports to Infrastructure Manager
Added 10 mins ago
Sr. Manager, Health, Safety and Wellbeing
GRIFOLS, S.A.
CA-Los Angeles, CA
Provide strategic leadership, ownership, and accountability for the Health, Safety, and Wellbeing Management System, ensuring full integration with Grifols’ global framework, company…
Added 10 mins ago
Manager, Mechanical Design Engineering
Intuitive
Peachtree Corners, GA
The Manager Mechanical Design Engineering leads cross-functional teams to maintain and improve the design, production, and service of the da Vinci® Surgical Systems. This includes…
Added 11 mins ago
Anti-Corruption & Trade Manager
Deloitte US
Birmingham, AL · Boise, ID · Cincinnati, OH · Cleveland, OH · Colorado Springs, CO · Columbus, OH · Davenport, IA · Des Moines, IA · Grand Rapids, MI · Hermitage, TN · Indianapolis, IN · Jacksonville, FL · Kansas City, MO · Louisville, KY · Mechanicsburg, PA · Memphis, TN · Midland, MI · Nashville, TN · New Orleans, LA · Omaha, NE · Pittsburgh, PA · Rochester, NY · Salt Lake City, UT · San Antonio, TX · St. Louis, MO · Tallahassee, FL · Tampa, FL · Tempe, AZ · Tulsa, OK · Williamsville, NY
Anti-Corruption & Trade (ACT) is seeking an experienced Manager-level professional who will manage and execute various tasks related to the Deloitte U.S. Firms’ Anti-Corruption and Trade…
Added 11 mins ago
Salesforce Administrator
Easy Ice LLC
United States
…Salesforce Administrator will serve as a technical project manager, administrator, and analyst, responsible for the day-to-day configuration, support, maintenance, and continuous…
Added 11 mins ago
MA
Bilingual (Spanish) Branch Manager - Tops Niagara St Branch
Manufacturers and Traders Trust Co
Buffalo, NY
- $74,600 to $124,400 USD / year
Branch Managers must stay current on operational, product, and system changes/enhancements, as well as demonstrate good risk management decisions. In addition, Insurance licensing minimum…
Added 11 mins ago
MA
Senior Technical Engineer - BI Analytics Platform Administrator - Tableau
Manufacturers and Traders Trust Co
Wilmington, DE
- $106,700 to $177,900 USD / year
Engineer and support multi-node Tableau Server clusters, Tableau Services Manager configurations, licensing, topology, background processes, and server settings.
Added 12 mins ago
Pharmacist Columbia County (PRN)
Columbia County Medical Center
United States
…delivery of care. Actively participates in the development and implementation of performance/quality improvement and patient safety initiatives, including medication event/adverse reaction…
Added 13 mins ago
Junior Compliance Analyst
Default Brand
Tampa, FL
Handle pre-clearance requests that need manual review, including coordinating portfolio manager approval of digital asset trades above the de minimis amount.
Added 13 mins ago
QA Validation Engineer
AbbVie
Irvine, CA
Under the direction of the Validation Section Manager and guidance from senior validation personnel, this individual executes assigned validation activities, prepares and reviews validation…
Added 13 mins ago
J
Program Manager
Jobot
Irving, TX
- $150,000 to $180,000 USD / year
An exciting opportunity for an experienced Program Manager to lead complex, cross-functional strategic initiatives and integration projects. Working across Finance, Accounting, Operations,…

Default Brand

Junior Compliance Analyst

Tampa, FL, United States

Apply About employer

Applications open in a new tab.

Job details

Posting language: English
Posted: Nov 9, 2026

Original job description

Essential Duties and Responsibilities:

Includes the following, other duties may be assigned as needed:

Administer the Code of Ethics program in MyComplianceOffice (MCO), including setting up new employees, maintaining employee and brokerage account records, tracking employees on leave, and closing out departing employees.
Review employee personal trading against pre-clearance approvals and research MCO alerts (for example, trades without pre-clearance, trades above the pre-cleared quantity, or trades outside the approval window). Follow up with employees and escalate potential violations to the Chief Compliance Officer or designee.
Handle pre-clearance requests that need manual review, including coordinating portfolio manager approval of digital asset trades above the de minimis amount.
Respond to employee questions received in the Code of Ethics inquiries mailbox about personal trading, reportable accounts and Code of Ethics requirements.
Set up and maintain electronic brokerage data feeds with brokers and the MCO vendor, reconcile unmatched accounts, and obtain account statements or discretionary account agreements as needed.
Administer new hire, quarterly and annual Code of Ethics certifications and holdings reports, including launch, reminders, follow-up and review of disclosures.
Conduct new hire compliance orientation and track completion of required compliance training.
Review outside business activities, political contributions and other employee disclosures, and escalate potential conflicts of interest to the Chief Compliance Officer or designee.
Prepare periodic personal trading reminders and other Code of Ethics communications to employees.
Maintain Code of Ethics records to support compliance testing, regulatory examinations and reporting to management.
Assist with ongoing testing of Code of Ethics and other adviser and fund compliance policies and procedures.
Keep current on industry developments that affect Adviser, Funds, and Broker-Dealer compliance.
Help maintain compliance policies and procedures, including Code of Ethics procedures and employee reference guides.
Ad-hoc compliance projects, including assisting with implementation of new rules.
Complete other regulatory compliance tasks assigned by management.

Supervisory Responsibilities

This job has no supervisory responsibilities but may assist in overseeing others’ work.

Qualifications

BA/BS degree or equivalent required
One to three years’ experience. Some investment adviser compliance, personal trading or Code of Ethics experience preferred but not necessary
Experience with a personal trading compliance system such as MCO is a plus
Committed to maintaining the highest ethical standards
Ability to handle confidential employee financial information with discretion
Strong verbal and written communication skills
Ability to interact effectively with all levels of staff
Roll up your sleeves work ethic
Ability to work effectively in a remote environment
Strong organizational skills and attention to detail, with the ability to manage a high volume of time-sensitive requests

Knowledge, Skills & Abilities Required

The ideal candidate will be an intelligent, energetic and goal-oriented, conceptual thinker with the ability to quickly assess a situation and exercise sound business judgment and will possess the following attributes:

Excellent oral and written communication skills are required.
Independent, self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment.
Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy.
We are seeking a team player who is well-organized and highly efficient, possessing excellent verbal and written communications skills and the ability to interact and communicate effectively with management level personnel and regulatory agencies.
Demonstrate a cooperative attitude and consensus building skills.
Strong project and time management skills.
Exceptional communication and relationship building skills. The role must be an advisor and partner to the business who helps the business understand the regulatory requirements and finds solutions where possible.
Ability to analyze and assess the current state, identify gaps, and develop plans for continuous improvement.
An interest in the financial services industry and understanding of the laws and regulations that govern its activities.
Proficiency with Microsoft Office tools, particularly Excel.

VanEck is committed to treating all applicants and employees fairly and to providing equal opportunity in compliance with applicable federal, state and local laws. VanEck does not and will not discriminate against any employee or applicant for employment on the basis of race, religion, ancestry, color, gender, gender identity, pregnancy, age, physical or mental disability, national origin, marital status, sexual orientation, citizenship status, covered-veteran or military status, genetic information, and/or any other factor protected by law.

Apply About employer

More about this job

Skills

Regulatory compliance
Research
Communication skills
Organizational skills
Attention to detail
Time management
Relationship building
Process improvement
Microsoft Office
Microsoft Excel

Report this job