KIS Surveillance Compliance Associate

Location:

The KIS Surveillance Compliance Associate reports directly to the KIS Senior Compliance Manager for Risk Management (KIS Senior Compliance Manager) and has primary responsibility to assist in establishing and maintaining the structure for identifying, assessing, controlling, monitoring, testing and reporting compliance risks within KIS. This role will be responsible for providing oversight and surveillance of Compliance policies and procedures as it relates to KIS. 

Based upon the identification and assessment of compliance risk and issues, these responsibilities include:

• Providing responsive pro-business compliance support to new and amended rules and regulations set by regulatory and internal policies to help promote a culture that emphasizes high standards of ethical behavior at all levels of KIS. 
• This position will also act as a liaison, developing closer partnerships with the KIS LOB, Central Supervisory Team, Legal and other support and administrative groups to identify and mitigate retail broker/dealer, securities, AML, Fraud and insurance related compliance and reputational risk. 
• Provide compliance support as needed for compliance projects as they may develop. 
• Develop creative solutions for problems and will be establishing effective business relationships with the ability to interact and promote a good day-to-day rapport with other compliance officers and management throughout KIS and the Central Supervisory Team. 
• Identify needed enhancements to current process flows and help to implement change.

Essential Job Functions:

• Assist the KIS Senior Compliance Manager in the oversight of compliance risk and control factors affecting KIS compliance risks.
• Ensure that KIS’s comprehensive compliance programs provide for effective compliance policies, procedures, training and surveillance for compliance with current applicable rules, regulations, securities laws, AML and Fraud regulations and SRO rules.
• Provide oversight surveillance of systems and supervisory reviews conducted by the KIS Supervisory Principals in order to identify and resolve any potential risks.
• Provide oversight surveillance of systems to identify, investigate, and report suspicious AML and Fraud activity.
• Perform regular and ongoing monitoring and testing on KIS compliance risks and controls, and document findings.
• Work closely with KIS Senior Compliance Manager to establish or enhance regulatory risk assessments, compliance self-testing, validates testing results and address issues noted in testing.
• Provide consultative support and direction to KIS risk owners on enhancements related to the Governance Risk Compliance (GRC) application. As needed, enhance KIS LOB specific data within the GRC application in order to improve the efficiency and effectiveness of RCSA and KRI processes.
• Performs and/or assists …