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Senior Compliance Analyst (Regulatory Response Team) Consultant

New York, NY 10005 | Temporary

Post Date: 05/29/2018 Job ID: 12368 Industry: Compliance Analyst
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Senior Compliance Analyst Consultant

Identify and track regulatory concerns and capture them accurately with Regulatory Response & Inquiry Management System, attend meetings with bank monitor sessions/overviews to gain business knowledge to investigate processes and concerns of the regulators. Learn how to identify, document and refer risks to appropriate contacts. Gain a thorough understanding of how to adequately respond to consumers verbally and in writing.
Research Root Cause Analysis-Identify regulatory concerns and with assistance perform research and investigation into matters impacting the complaint and Bank operations. Consult with leadership and business partners to obtain necessary information/documentation to verify all processes impacting the regulatory concerns were followed properly. Complete root cause analysis into the complaint in order to identify an appropriate resolution
Response Drafting- Once research has been completed, draft a written response to the regulator that addresses all concerns outlined in the complaint and actions taken by the Bank. Written response must be professional and tailored toward the intended audience(s).
Risk Identification- Use intelligence gathered from complaint analysis to identify obvious risks and process improvement opportunities and escalate appropriately.
Meeting Deadlines- Must be able to prioritize work and meet strict deadline
Collaborate with different teams  to track regulatory issues
Case Management and Documentation- Must be able to thoroughly document each case timely and accurately
Skills, Competencies, and Experience Needed:
Possibility of temp to perm
Writing Samples are requested and references.
Prior bank examination experience; Prior experience interacting with regulators and auditors
Excellent ability to take notes and synthesize complex information
Ability to utilize and manipulate data on excel to create issue matrix trackers.

Familiar with project management and tracking multiple priorities and deadlines
Excellent communication skills and ability to obtain information via RFIs
Leadership skills and the ability to change roles as needed.
Bachelors degree (Master’s Degree preferred, Law Degree Preferred)
Preferred CAMS certification.
Experienced of work experience within a financial institution, regulatory organization, or legal/consulting firm, or a combination of with at least 3-5 years’ experience working in an AML and/or Sanctions compliance function
Thorough knowledge of and experience with AML regulations and requirements, including the Bank Secrecy Act, The USA PATRIOT Act, FFIEC BSA/AML Exam Manual guidelines, OFAC/Economic
Sanctions and Suspicious Activity Reporting.
Strong attention to detail, communication, collaboration, and organizational skills are required as well as the ability to prioritize workloads and deliver results in a time-sensitive environment.
Effective written interpersonal communication skills.

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Franca Diona

Franca Diona has over 15 years of recruitment experience. She is a graduate of Iona College with a Bachelor of Arts specializing in public relations. She started her career in the music business working for major radio stations in the tri-state area. She furthered her career promoting the world-renowned musician Debbie Gibson. She utilized her skills expanding into the financial industry as a recruiter. Being a part of Adams Consulting Group has allowed Franca to broaden her craft by setting goals and striving to achieve them. She remains energetic and enthusiastic about getting the job done at ACG.

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