Compliance Analyst - Major Investment Bank - $50PLUS
Vacancy expired!
Botsford is looking for a Compliance Analyst Consultant that can help to support one of our banking clients within their compliance monitoring space. This resource would help complete and populate the inventory template to record specific information for compliance monitoring activities that the bank's first line of defense and Compliance teams are engaged in. This resource would perform this based on strong and thorough understanding of compliance monitoring as driven by regulations and internal policies, as well as the bank's business unit structure and risk taxonomies. Additional tasks relevant to the Compliance Monitoring transformation initiative may also be assigned.Responsibilities:
- Assist in the Compliance Transformation initiative for Monitoring by completing assigned compliance monitoring activity inventory. The incumbent achieves the above through identifying required information: a) in relevant first line of defense and Compliance procedures and other documents, and b) through discussions with monitoring activity owners from various first line of defense and Compliance units.
- Review relevant documents, engage relevant stakeholders to acquire necessary information, familiarize and refer to global business unit structures and risk taxonomies, and timely, effectively, and accurately complete the monitoring activity inventory within project timeline. For any missing information (not in the documents but required in the template), the incumbent will need to go back to activity owners to discuss and get the necessary information.
- Provide timely and accurate guidance to stakeholders about the initiative, the inventory template, and relevant requirements and other key features in the underlying program documents. Provide effective challenge on the information received vis-à-vis what is required by the project, the inventory template, and relevant program documents.
- 5 - 7 years of relevant experience in Compliance and/or first line of defense experience with a large bank(s) with prominent, multinational Wholesale Banking and Capital Markets businesses
- Strong understanding of:
- Compliance risk and controls in Capital Markets
- Wholesale Banking and Capital Markets businesses, and the relevant Compliance requirements and procedures for both Compliance and first line of defense (domestically and globally, and from both regulatory and industry perspectives),
- Ability to comprehend a large number of policies and procedural documents and identify requested information quickly and precisely
- Strong Microsoft Excel and Sharepoint skills, and the ability to manage a large amount of data effectively and efficiently
- Experience in Compliance Advisory supporting Wholesale Banking and Capital Markets businesses in a large international Bank(s)
- Experience/background working on projects or programs
- Prior experience with first line of defense or Compliance related projects