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Compliance Analyst (Regulatory Response Team)
Ref No.: 18-04322
Location: New York City, New York
Position Type:Right to Hire
Compliance Analyst (Regulatory Response Team)

  • Training
    • Identifying regulatory concerns and capture them accurately with Regulatory Response & Inquiry Management System
    • Attend meetings with bank monitor sessions/overview to gain business knowledge to investigate processes and converns of the regulators.
    • Teach how to identify, document and refer risk to appropriate contacts.
  • Research & Root Cause Analytics
    • Identify regulatory concerns and with assistance perform research and investigations 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
  • Response Drafting
    • Being able to draft a detailed written response to the regulator that addresses all concerns outlined in the complaint and action taken by the bank.

Skills and Experience
  • Writing samples are requested
  • Ability to manipulate data on excel to create issue matrix trackers
  • Bachelors degree
  • CAMS Preferred
  • Strong knowledge of compliance banking regulations