Compliance Analyst

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POST DATE 8/9/2016
END DATE 10/29/2016

Brown Brothers Harriman Boston, MA

Boston, MA
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #
Mid-Career (2 - 15 years)
Bachelors Degree



The Compliance Analyst is responsible for supporting the Bank s adherence to privacy and data security rules and regulations by providing regulatory compliance support and expertise within established guidelines. Specific responsibilities include identifying and resolving problems in a timely fashion taking into account internal guidelines and outside regulatory requirements. The position functions as a trusted advisor to BBH's business lines.

If you are looking to push your career to the next level, introduce yourself by submitting your resume.


* Aid Privacy Officer in annual update of Privacy and Data Protection Policy

* Review and monitor employee corrective actions regarding dating incidents to ensure they comply with the Corrective Action Policy and Guidelines

* Review submitted Data Incident Questionnaires (data incidents) and assess for regulatory, contractual and business risk.

* Coordinate with the Privacy Officer, Risk and LOB to remediate Data Incidents.

* Ensure appropriate corrective action takes place with regards to Data Incidents.

* Complete monthly Privacy Office Report.

* Provide sound technical compliance advice to business.

* Proactively identify trends in recurring data incidents and collaborate with Privacy Officer to improve compliance procedures and processes, training materials and forms.

* Identify regulatory issues which may impact local business and document these for review by the Privacy Officer.

* Identify and maintain a register of applicable laws, rules and standards and ensure that concerned management and staff are aware of these requirements.

* Liaise with Risk Management and LOB, as necessary, on compliance matters.

* Independently identify and resolve problems following established guidelines, accounting for internal guidelines as well as outside regulatory requirements.

* Advise line managers and establish procedures for compliance related activities.

* Execute a range of complex tasks and analyses however, the most complex problems may be escalated to management for resolution.

* Communicate compliance and regulatory requirements in both written and oral format to management and staff.

* Coordinate with Risk and LOB to schedule periodic Privacy and Data Protection training.

* Prepare training materials including attendance records.

* Assist Privacy Officer in providing staff training to the business.

* Provide training and support to other members of the Compliance team.

* Support the Privacy Officer in the execution of Compliance Monitoring Program.

* Undertake compliance monitoring in conjunction with other team members.

* Review and document findings from compliance monitoring program including completing all working papers, notes of meetings, visit summaries and other compliance monitoring documentation in line with the compliance monitoring framework.

* Prepare compliance findings for review by Compliance management.

* Prepare reports on findings for distribution to business managers.

* Update the compliance monitoring control schedules on a timely basis as required.

* Be responsible for following up and closing out action points identified through the compliance monitoring

* Liaise with Internal Audit on compliance monitoring matters


* 3-5 years of compliance or business related experience

* Bachelor s degree in Business Administration, Finance, or related field

* Written and oral communication skills with ability to convey information in a clear, focused, and concise manner

* Exhibit the beginnings of "functional Compliance expertise"

* Capable of executing a range of complex tasks and analysis

* Exhibits strong basic execution capabilities

* Proactive approach to tasks and assignments

* Knowledge of applicable laws, rules and standards including AML/KYC laws and regulations

* Experience in financial services with a good understanding of the market place

* Varied Languages are preferred


* A collaborative environment that enables you to step outside your role to add value wherever you can

* Direct access to clients, information and experts across all business areas around the world

* Opportunities to grow your expertise, take on new challenges, and reinvent yourself - within the Firm

* A culture of inclusion that values each employee s unique perspective

* High-quality benefits program emphasizing good health, financial security, and peace of mind

* Rewarding work with the flexibility to enjoy personal and family experiences at every career stage

* Volunteer opportunities to give back to your community and help transform the lives of others



We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.

Full time