Compliance Analyst - International Bank Job Listing at The Horizon Group in New York, NY
The Horizon Group is looking for a compliance analyst for one of our international banking clients in New York City. The Compliance Analyst is responsible for both administrative and compliance functions in support of both the BSA/AML/OFAC Compliance Program and the Corporate Compliance Program of the Compliance Department.
Provides support to the BSA/AML/OFAC Compliance Officer and the Corporate Compliance Officer with respect to the maintenance of all policies, procedures and training materials for each corresponding compliance program.
Maintains the Compliance Risk Control Mechanism (CRCM) Inventory to ensure that all policies, procedures and training materials are reviewed and revised (if necessary) in accordance with policy guidelines.
Performs Quality Assurance (QA) reviews of all procedures within the BSA/AML/OFAC Compliance Program and Corporate Compliance Program, as well as assists with the conduct of QA reviews of other departments performed by the BSA/AML/OFAC Compliance Officer and Corporate Compliance Officer.
Prepares the monthly reporting package for the Compliance Committee, including all key risk indicators (KRI) for the BSA/AML/OFAC Compliance Program and Corporate Compliance Program, as well as the submissions to the Risk Committee and BusinessCoordination Committee.
Schedules and tracks the completion of compliance training (internal) for all employees, as well as training (external) for all Compliance Department personnel.
Coordinates the collection of responses to First Day Letters (FDL) with respect to regulatory examinations by the New York State Department of Financial Services and/or Federal Reserve Bank of New York, as well as document requests from Internal Audit (IA) as part of their audit process.
Coordinates the collection of responses to regulatory Reports of Examination (ROE) and IA reports, as well as assists the Head of Compliance with preparation of formal letters of response.
Updates the regulatory and IA issue tracking reports to ensure that the status of all corrective actions are appropriately reflected and monitored.
Prepares submission packages to IA for the closure of regulatory and IA issues.
Prepares monthly expense reports for the Compliance Department.
High school diploma required, with a bachelor’s degree preferred.
Three (3) to five (5) years of relevant administrative and compliance experience at a U.S. domestic or foreign bank.
Well-organized, efficient and detail-oriented self-starter with the ability to simultaneously handle multiple tasks and changing priorities in an effective manner.
Ability to work independently, as well as within a team environment, and be able to interact with all levels of staff and management.
Excellent oral and written communication skills.
Comply with internal policies and procedures, as well as, U.S. laws and regulations, including but not limited to the Bank Secrecy Act (BSA), Money Laundering Control Act, USA PATRIOTAct and financial sanctions (i.e., OFAC) laws and regulations.
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