Compliance Examiner/Analyst - (US-NY-New York)

Compliance Examiner/Analyst - (US-NY-New York)

Compensation: $85K - $90K / Year
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: SJFJA5
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Primary responsibility of the candidate is the execution of regulatory compliance testing programs including, but not limited to the following:

Information requests, performance of comprehensive fieldwork, composition and maintenance of detailed work papers, analysis of exceptions to derive underlying issues, formulating issue memoranda and presentation to management for corrective action plan(s), drafting and issuance of reports to management, and tracking of issues for follow-up and resolution.

Performing ongoing compliance monitoring activities on a risk-assessed basis and escalating any exceptions/issues. Assisting in the ongoing development, as well as implementation of a comprehensive compliance program. Assisting in the performance of the annual risk-assessment of various laws and regulations in support of the compliance-testing framework. Assisting with annual policies and procedures reviews and revisions. Ongoing support of the employee personal trading process, including but not limited to trade pre-clearance, post trade reviews, etc.

Assisting with the monitoring of all regulatory changes, ensuring communication of new requirements and assisting the business and infrastructure areas in creating/revising policy and process to meet new requirements. Assisting with the development, delivery and tracking of the corporate compliance training. Performing special projects or other assignments.

EXPERIENCE/ SKILLS: We seek a highly motivated individual with a minimum of 3-5 years of compliance testing AND internal bank audit, or similar experience. Knowledge of commercial banking products and businesses.

Knowledge of U.S. banking laws and regulations. Strong interpersonal and communication skills (verbal and written). Ability to work well independently or within groups as circumstances dictate. Excellent organization skills. High degree of attention to detail. Ability to manage multiple tasks and deliver a quality work product. Ability to quickly adapt to changing tasks and workload.

Email resume in Word to TheBigGameHunter@cisny.com. Please include the job code for the position with your resume.

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES.

To receive a complimentary subscription to my job search ezine, No B.S. Job Search Advice, go to www.JeffAltman.com to subscribe. Receive tweets about consulting assignments via Twitter; subscribe to USConsulting

Jeff Altman, The Big Game Hunter
Concepts In Staffing
9 East 37 Street
New York, NY 10016

Analyst--Transaction Surveillance - (US-NJ-Jersey City)

Analyst--Transaction Surveillance - (US-NJ-Jersey City)

Compensation: $55K - $60K / Year
Minimum Education: Tech School
Job Type: Full Time
Jobcode: SJF
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Conduct ongoing investigations related to client/transaction activity via either systematic alerts or manual referrals. Review and investigate transaction patterns utilizing the Fortent (Searchspace) transaction monitoring tool and linked case management tool. Refer unusual transaction activity to the BSA Compliance Officer for further investigation and potential Suspicious Activity Reporting. Research potential matches against various regulatory control lists to ascertain whether a match is false or positive. Conduct research using internal and external (media) sources to help determine unusual or potentially suspicious activity. Assist in the preparation of SARs. Request from SMBC Relationship Managers or other client-facing staff information that may be helpful in performing an investigation. Create, update and maintain a case file which documents all information used in an investigation. Perform special projects or other assignments.

EXPERIENCE/SKILLS: We seek a highly motivated individual with a minimum of

3-5 years of transaction surveillance, case management or similiar experience. Knowledge of commericial/wholesale banking products and businesses. Knowledge of U.S. banking laws and regulations. Experience with transaction monitoring tools (example, Fortran, Montran, etc.).

Strong interpersonal and communication skills. High degree of attention to detail. Ability to manage multiple tasks and deliver a quality work product. Ability to quickly adapt to changing tasks and workload.

This position will be located in the Harborside Office (Jersey City, NJ).

Email resume in Word to TheBigGameHunter@cisny.com. Please include the job code for the position with your resume.

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES.

To receive a complimentary subscription to my job search ezine, No B.S. Job Search Advice, go to www.JeffAltman.com to subscribe. Receive tweets about consulting assignments via Twitter; subscribe to USConsulting