Compliance Monitoring & Testing Specialist Job at Social Capital Resources, New York, NY

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  • Social Capital Resources
  • New York, NY

Job Description

Top-Tier Bank in Midtown, Manhattan is seeing a Compliance Monitoring & Testing Specialist for a temporary to permanent position!

Responsibilities:

  • Conduct ongoing monitoring and testing to ensure the effective execution and sustainability of bank's adherence to all regulatory requirements (excluding Financial Crimes Compliance) and escalate any issues of non-compliance
  • Work on regulatory requirements specifically Federal Reserve Bank New York (FRBNY) and New York State Department of Financial Services (NYDF) regulations.
  • Conduct scoping analysis to identify which business units are within scope of testing relative to the regulatory requirement.
  • Ensure written monitoring and testing results are thoroughly documented, clearly understood, and escalated appropriately
  • Monitor and test regulatory and internal requirement related controls in business level procedures or policies and identify control deficiencies
  • Develop reports of regulatory and internal requirement control deficiencies including documentation of findings and tracking remediation objectives
  • Participate in planning, execution, and reporting of compliance assurance reviews and compliance and regulatory issue validation
  • Stay up to date on federal and state compliance updates

Qualifications:

  • Bachelor's Degree
  • 3+ years in a compliance testing and monitoring position, with a focus on non financial crimes compliance.
  • 5 years working experience in the field of compliance monitoring and testing.
  • Knowledge of Federal Reserve Bank New York (FRBNY) and New York State
  • Department of Financial Services (NYDF) regulations

Job Tags

Permanent employment, Temporary work, Work experience placement,

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