1 day old

Compliance Specialist

Bank of America
Charlotte, NC
  • Job Code
Company Bank of America

Job Title Compliance Specialist

Jobid bankofamerica-17079673CharlotteNC

Location: Charlotte, NC, 28230, USA

Description **Job Description:**

This role is responsible for reviewing Bank of America's positions for the purpose of regulatory shareholder reporting in all AMRS jurisdictions, including but not limited to Large Shareholder Reporting and responses to issuer requests where applicable. In addition, the team is responsible for monitoring firm holdings against regulatory hard limits, e.g., in sensitive industries, for each jurisdiction. Failure to properly report or breaches of regulatory limits can lead to regulatory fines, sanctions, and loss of business opportunity. The candidate will interact regularly with individuals in all relevant lines of business, as well as work with counsel and compliance.

Key Responsibilities:

+ Perform daily reviewing and disclosure of positions held by the firm

+ Take an active part in the sourcing and validation of data and functionality for the firm's new large shareholder and short selling databases.

+ Close liaison with the Line of Business and Compliance officers to confirm positions and any other issues arising from the holding of stock in a timely manner.

+ Liaise with compliance technology group on all matters of system enhancements.

+ Continued maintenance of the team's disaster recovery plans.

+ Engage in the analysis of new rules and regulations pertaining to the monitoring and reporting of holdings in equity as needed.

+ Continued maintenance of the team's desk procedures and regular production of management statistics and risk metrics.

+ Perform quality control of shareholder reporting processes.

Required Skills

+ Knowledge of Financial Markets, Banking Industry and products.

+ 3+ years of compliance and/or significant exposure to equities products within a similar environment.

+ The ability to work under pressure and within tight deadlines to a consistently high level of accuracy

+ Show initiative and react quickly to changes in priorities with the ability to quickly learn new procedures.

+ Strong technical skills ( i.e. Excel, MS Access and other similar applications) with experience in analyzing, manipulating and reporting from large sets of structured data (e.g. books and records data)

+ A clear and logical thought process with a propensity to question facts and data.

Desired Skills

Previous experience of large shareholder reporting.

**Posting Date** : 12/04/2017

**Location** :


- United States

**Travel** : Yes, 5% of the time

**Full / Part-time** : Full time

**Hours Per Week** : 40

**Shift** : 1st shift

**Assistance for Applicants with Disabilities**

Bank of America is committed to ensuring that our online application process provides an equal employment opportunity to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to submit an application, please visit the Applicants with Disabilities page at http://careers.bankofamerica.com/us/applicants-with-disabilities .

**Diversity & Inclusion**

At Bank of America, our commitment to diversity and inclusion is helping us to create not only a great place to work, but also an environment where our employees, our customers and our communities around the world can reach their goals and connect with each other. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.

**Frequently Asked Questions**

Need to know how to apply online, view a list of your submitted job applications or reset your password? Visit our FAQ at http://careers.bankofamerica.com/us/faq section for answers to these questions and more.

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Compliance Specialist

Bank of America
Charlotte, NC

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Bank of America
Charlotte, NC

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