The Compliance Officer will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts. Key Responsibilities Compliance Monitoring & Support
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The Compliance Officer will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts. Key Responsibilities Compliance Monitoring & Support
PR · On-site
The Compliance Officer will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts. Key Responsibilities Compliance Monitoring & Support
Quick apply
PR · On-site
The Compliance Officer will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts. Key Responsibilities Compliance Monitoring & Support
PR · On-site
Monitor and interpret regulatory changes impacting PBM operations, including CMS guidelines, HIPAA, and Medicare Part D. * Assist in maintaining compliance with Medicare regulations, including ...
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PR · On-site
... Assist in the creation, review, and training for Validation Qualifications and Protocols. 9. Ensure compliance with international, federal, state, and local regulatory requirements (e.g., FDA CFRs ...
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PR · On-site
... Assist in the creation, review, and training for Validation Qualifications and Protocols. 9. Ensure compliance with international, federal, state, and local regulatory requirements (e.g., FDA CFRs ...
Support document reviews, approvals, document routing, and quality system coordination activities. * Assist with onboarding coordination activities, forms, access requests, and related compliance ...
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Support document reviews, approvals, document routing, and quality system coordination activities. * Assist with onboarding coordination activities, forms, access requests, and related compliance ...
Support document reviews, approvals, document routing, and quality system coordination activities. * Assist with onboarding coordination activities, forms, access requests, and related compliance ...
Quick apply
Support document reviews, approvals, document routing, and quality system coordination activities. * Assist with onboarding coordination activities, forms, access requests, and related compliance ...
Support document reviews, approvals, document routing, and quality system coordination activities. * Assist with onboarding coordination activities, forms, access requests, and related compliance ...
Quick apply
Support document reviews, approvals, document routing, and quality system coordination activities. * Assist with onboarding coordination activities, forms, access requests, and related compliance ...
Support document reviews, approvals, document routing, and quality system coordination activities. * Assist with onboarding coordination activities, forms, access requests, and related compliance ...
Quick apply
Support document reviews, approvals, document routing, and quality system coordination activities. * Assist with onboarding coordination activities, forms, access requests, and related compliance ...
PR · On-site
Support document reviews, approvals, document routing, and quality system coordination activities. * Assist with onboarding coordination activities, forms, access requests, and related compliance ...
Quick apply
PR · On-site
Support document reviews, approvals, document routing, and quality system coordination activities. * Assist with onboarding coordination activities, forms, access requests, and related compliance ...
Receive and verify materials, supplies, and purchases to ensure inventory accuracy and compliance. * Assist in resolving procurement, invoice, and billing discrepancies with suppliers and internal ...
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Receive and verify materials, supplies, and purchases to ensure inventory accuracy and compliance. * Assist in resolving procurement, invoice, and billing discrepancies with suppliers and internal ...
... state of compliance. * Assist plant engineering in the evaluation and implementation of engineering improvements, policy changes, compliance improvements and optimization programs. * Evaluate ...
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... state of compliance. * Assist plant engineering in the evaluation and implementation of engineering improvements, policy changes, compliance improvements and optimization programs. * Evaluate ...
PR · On-site
$20.25 - $28/hr
... state of compliance. * Assist plant engineering in the evaluation and implementation of engineering improvements, policy changes, compliance improvements and optimization programs. * Evaluate ...
Quick apply
PR · On-site
$20.25 - $28/hr
... state of compliance. * Assist plant engineering in the evaluation and implementation of engineering improvements, policy changes, compliance improvements and optimization programs. * Evaluate ...
As The Compliance Attorney, you will report to the Supervising Compliance Attorney, you will also ... assistants. Responsibilities * Explain immigration concepts and present strategic solutions
As The Compliance Attorney, you will report to the Supervising Compliance Attorney, you will also ... assistants. Responsibilities * Explain immigration concepts and present strategic solutions
As The Compliance Attorney, you will report to the Supervising Compliance Attorney, you will also ... assistants. Responsibilities * Explain immigration concepts and present strategic solutions
As The Compliance Attorney, you will report to the Supervising Compliance Attorney, you will also ... assistants. Responsibilities * Explain immigration concepts and present strategic solutions
As The Compliance Attorney, you will report to the Supervising Compliance Attorney, you will also ... assistants. Responsibilities * Explain immigration concepts and present strategic solutions
As The Compliance Attorney, you will report to the Supervising Compliance Attorney, you will also ... assistants. Responsibilities * Explain immigration concepts and present strategic solutions
Safety Officer
$60K - $85K/yr
Perform risk assessments, apply effective mitigation techniques, and utilize safety software to report, track, and analyze compliance. * Assist in conducting incident investigations, including root ...
Safety Officer
$60K - $85K/yr
Perform risk assessments, apply effective mitigation techniques, and utilize safety software to report, track, and analyze compliance. * Assist in conducting incident investigations, including root ...
... action commitments. • Assist and participate in internal, customer, ISO and/or FDA audits ... compliance issues • Able to work both independently and in a team-based environment • Knowledge ...
... action commitments. • Assist and participate in internal, customer, ISO and/or FDA audits ... compliance issues • Able to work both independently and in a team-based environment • Knowledge ...
... Assistants. OTHER: The role is required to be 100% onsite with occasional travel as deemed necessary.
... Assistants. OTHER: The role is required to be 100% onsite with occasional travel as deemed necessary.
... action commitments. • Assist and participate in internal, customer, ISO and/or FDA audits ... compliance issues • Able to work both independently and in a team-based environment • Knowledge ...
... action commitments. • Assist and participate in internal, customer, ISO and/or FDA audits ... compliance issues • Able to work both independently and in a team-based environment • Knowledge ...
... action commitments. • Assist and participate in internal, customer, ISO and/or FDA audits ... compliance issues • Able to work both independently and in a team-based environment • Knowledge ...
... action commitments. • Assist and participate in internal, customer, ISO and/or FDA audits ... compliance issues • Able to work both independently and in a team-based environment • Knowledge ...
Compliance Assistant information
What are the key skills and qualifications needed to thrive as a compliance assistant, and why are they important?
To thrive as a Compliance Assistant, you need a solid understanding of regulatory standards, attention to detail, and a relevant degree in law, business, or a related field. Familiarity with compliance management systems, Microsoft Office Suite, and sometimes certifications such as Certified Compliance & Ethics Professional (CCEP) are typically required. Strong organizational skills, integrity, and effective communication help you excel in supporting compliance processes and collaborating across teams. These capabilities ensure that organizations adhere to legal requirements, minimize risk, and maintain ethical standards.
What does a compliance assistant mean?
A compliance assistant is a professional who supports an organization in ensuring adherence to laws, regulations, and internal policies. They often assist with monitoring, documentation, and reporting tasks, and may use compliance management tools to help maintain regulatory standards.
What is the difference between Compliance Assistant vs Compliance Coordinator?
| Aspect | Compliance Assistant | Compliance Coordinator |
|---|---|---|
| Certifications | Often requires basic certifications like Compliance Certification or related courses | Typically requires similar or advanced certifications, sometimes with additional experience |
| Work Environment | Administrative settings, supporting compliance teams in offices | More involved in coordinating compliance activities, often liaising with departments |
| Employer & Industry Usage | Used across industries like finance, healthcare, and manufacturing | Common in larger organizations with complex compliance needs |
Compliance Assistants support compliance teams by handling administrative tasks and documentation, while Compliance Coordinators take a more active role in organizing and overseeing compliance processes. Both roles require similar certifications and are found in various industries, but Coordinators typically have more responsibility in managing compliance activities.
What is a compliance assistant?
A compliance assistant performs a supporting role in identifying processes and programs in a business that require changes in order to maintain compliance with laws and industry regulations. In this role, your job duties include designing improvements for process compliance, identifying processes that are out of compliance, and implementing changes that will resolve any issues. The qualifications needed for a career as a compliance assistant include a bachelor’s degree in a field relevant to your industry. You also need strong organizational skills and a firm understanding of the regulatory requirements of your industry. While you can find these positions in many industries, you are most likely to work in a financial institution like a credit union.
What are some common challenges compliance assistants face when ensuring adherence to regulations, and how can they effectively address them?
Compliance Assistants often face the challenge of keeping up with frequently changing regulations and ensuring that all documentation is accurate and up-to-date. They may also encounter difficulties in communicating complex regulatory requirements to team members from non-compliance backgrounds. To address these challenges, successful Compliance Assistants develop strong organizational skills, maintain updated checklists, and build effective communication channels with colleagues. Regular training and proactive collaboration with compliance officers and other departments can also help them stay current and effectively support organizational compliance efforts.
More about Compliance Assistant jobs
What are the most commonly searched types of Compliance jobs in Puerto Rico?
The most popular types of Compliance jobs in Puerto Rico are:
What cities in Puerto Rico are hiring for Compliance Assistant jobs?
Cities in Puerto Rico with the most Compliance Assistant job openings:
Full-time
Re-posted 17 days ago
Job description
Position Summary
The Compliance & AML Analyst supports the Firm in executing its regulatory and supervisory responsibilities. This person reports to the Broker Dealer and RIA Chief Compliance Officers. This role is ideal for a detail-oriented professional with a strong understanding of compliance operations, documentation standards, and surveillance systems. The Compliance Officer will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts.
Key Responsibilities
Compliance Monitoring & Support
- Monitoring proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, state regulations, etc.)
- Perform FINRA Branch Office Inspections
- 3120/3130 and 206(4)-7 annual testing for FINRA and SEC
- Manage the Firm’s continuing education program for Registered Persons.
- Review and Approval of customer new accounts, AML/KYC, ongoing monitoring of trading activity, and Regulation Best Interest compliance.
- Assist in monitoring communications through surveillance platforms (e.g., Actimize, Global Relay, Sycamore/Investedge)
- Advisory Testing Reviews
- Participate in compliance program testing, which includes transactional and periodic testing of supervisory controls
- Review documentation of Financial Crime Enforcement Network (FinCEN) postings.
- Review and monitor approval requests for new personal trading accounts, personal trading, outside activities and business gifts, meals and entertainment for employees of the Firm.
- Support documentation of disclosures, suitability reviews, and client communications
- Compile data for monthly and quarterly compliance reports
- Support the Compliance Department in preparing presentations and memos
- Respond to routine compliance inquiries from staff and registered representatives
- Help draft internal communications regarding policy updates and regulatory changes
Qualifications and Skills
- FINRA Series 7 certification is required.
- FINRA Series 24 certification is also required or ability to obtain within 3 months of hire. Series 4 and 79 a plus.
- Education: Bachelor’s degree in Finance, Business Administration, or related field
- Experience: 4-5 years in financial services compliance or operations
- Familiarity with FINRA, SEC, and AML regulations
- Ability to understand complex rules and regulations and communicate them to all levels of staff, including management, within all departments and discuss them with external relationships and to develop and implement appropriate procedures
- Must show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlines
- Strong organizational and analytical skills
- Proficiency in Microsoft Office Suite and compliance platforms
- Bilingual (English/Spanish) preferred
- Lexis Nexis
Work Environment
This role is based in a professional securities office in Guaynabo, Puerto Rico. It requires a polished, compliance-focused demeanor and may involve occasional overtime to meet regulatory deadlines or support audits.
Equal Employment Opportunity Statement
We are an Equal Employment Opportunity employer. We are committed to providing a workplace free from discrimination or harassment based on race, color, religion, creed, sex, gender identity or expression, sexual orientation, national origin, age, disability, marital status, veteran status, genetic information, or any other protected status under applicable federal, state, or local laws. We value diversity and encourage individuals from all backgrounds to apply.