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Compliance Specialist - Associate
Minneapolis, Minnesota  |  Onsite
Contract Position
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Applied on October 25, 2021
Job Id #51401 Posted October 14, 2021

Position Summary:
  • Inspects for assigned area, practices and procedures to verify compliance with applicable law, government regulations, and Company policies.
  • Ensures proper recording of transactions and compliance with applicable laws and regulations. The Compliance Specialist assists in the prevention and detection of issues related to regulatory non-compliance, fraud and abuse for all lines of business.
This position is responsible for:
  • Reviewing, auditing, and analyzing the accuracy and effectiveness of the plan?s operational systems.
  • The Compliance Specialist prepares audit reports, recommends corrective action, and follows up to ensure corrective actions have been implemented.
  • In addition, this position assists in facilitation of external audits and regulatory survey visits. Investigate low- to medium-complexity issues with direction from leader , gather and track related information, and make appropriate recommendations.
  • Assist business partners in developing adequate compliance policies and procedures.
  • Assist in coordinating regulatory exams and inquiries, e.g., draft written inquiries for leader review.
  • Assist in researching applicable laws and regulations, requiring general knowledge of laws, regulations and internal policies related to Compliance.
  • Maintain current knowledge of industry practices and developments. Serve as a resource on assigned subjects, e.g., day-to-day activities for one line of business.
  • Complete basic data analysis, Conducting general reviews of internal business practices, as needed,  To identify potential problems and mitigate risk.
  • Escalate issues and maintain records as required or appropriate.
  • Support the Anti-Fraud and Anti-Money Laundering (AML) Program and strategy;
Perform critical fraud prevention and detection functions which include the following: -
  • Conduct transaction reviews to detect unusual activity 
  • Call advisors and clients to confirm transaction requests 
  • Take appropriate fraud prevention measures to reduce exposure to the firm 
  • Report findings of unusual activity to the Anti-Money Laundering/Anti-Fraud Investigations
Team Qualifications: -
  • 1 to 3 years of fraud, AML or compliance related experience -
  • 3 or more years of financial services experience 
  • College degree (preferred)

Horizontal is proud to be an Equal Opportunity and Affirmative Action Employer. We seek to provide employment opportunities to talented, qualified candidates regardless of race, color, sex/gender including gender identity and/or expression, national origin, religion, sexual orientation, disability, marital status, citizen status, veteran status, or any other protected classification under federal, state or local law.

In addition, Horizontal will provide reasonable accommodations for qualified individuals with disabilities. If you need to request a reasonable accommodation in order to complete the application or interview process, please contact hr@horizontal.com.

All applicants applying must be legally authorized to work in the country of employment.

EQUAL OPPORTUNITY EMPLOYMENT SURVEY

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You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition.

Horizontal is proud to be an Equal Employment Opportunity/Affirmative Action Employer providing a drug-free workplace.

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