Senior Compliance Analyst Banking Operations - AVP 8/28/2016
New York, NY
JOB DESCRIPTIONAPPLY SENIOR REGULATORY COMPLIANCE ANALYST - BANKING OPERATIONS - AVP
Will be responsible for:
* The active participation and management of the regulatory compliance testing program by serving as an in-house "examiner-in-charge". This includes pre-planning and administration, coordination of engagements, execution of test procedures, work paper compilation/review, reporting and issues tracking.
* Ongoing execution and administration of the compliance monitoring program, including but not limited to the timely execution of monitoring procedures, work paper compilation/review and reporting of results.
* Assisting in the ongoing development, implementation and refinement of a comprehensive compliance program
* Conduct annual compliance policies and procedure reviews, including the development of new policies and procedures, as needed
* Overseeing the ongoing surveillance of employee personal trading activity, including but not limited to onboarding of new employees, watch/restricted list maintenance, timely disputation of violations, reporting and maintenance of the surveillance system.
* Assisting in the development, delivery and tracking of corporate compliance training.
* 3-5years banking compliance experience; supervisory experience and auditexperience are plusses
* Knowledge of US bankinglaws and regulations
* Knowledge of commercial banking products and businesses
* Banking Examiner background given preference
* Strong interpersonal and communications skills (verbal/written) is a must
* Facility with Compliance Science's - Personal Trading Control Center application is a plus