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Senior Compliance Analyst (Regulatory Response Team) TEMP

New York, NY 10271

Posted: 08/27/2018 Employment Type: Temporary Industry: Compliance Analyst Job Number: 12466
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Senior Compliance Analyst (Regulatory Response Team) TEMP

(located in Manhattan)

  • Assist with drafting new Policies & Procedures for AML Investigation Team
  • Attend meetings and maintain meeting notes with bank monitors, regulators and third-party consulting firms that perform compliance oriented work for the bank.
  • Assist and coordinate large regulatory projects such as Issue Validation for ROE, C&D, CO, 504
  • Assist with implementation of the NYSDFS Part 504 Certification Action Plan.
  • Assist with implementation of new policies and procedures for reviewing Letters of Credit and MT202 Transactions
  • Provide the necessary and sufficient response to inquiries from the bank monitor, Home Office AML, Home Office IT, auditors, third-party consultants and regulatory agencies.
  • Ensures the timeliness and accuracies of responses to the requestor of information
  • Consult with leadership and operational stakeholders in order to obtain necessary information/documentation to verify and provide assurance of regulatory response.
  • Generate and send RFI for stakeholders in order to obtain response to regulatory inquiries.
  • Maintain tracking log of all inquiry responses full lifecycle.
  • Assist with developing and vetting of new AML Investigation Team’s workflows.
  • Maintain AML Investigation Team’s dashboards, which track AML Investigation Team’s weekly progress.
  • Collaborate with different teams to track regulatory issues.
  • Case Management and Documentation- Must be able to thoroughly document each case timely and accurately


 Experience Needed:
  • There is a possibility of temp to perm.
  • Prior bank examination experience is preferred.
  • Prior experience interacting with regulators and auditors is preferred.
  • Trade Finance and Letters of Credit (L/C) experience is preferred.
  • Prior experience with NYSDFS Part 504 Certification is preferred.
  • 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.
  • Writing Samples and references are requested.
  • 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.
  • Bachelor's 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
  • 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.

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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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