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Compliance Analyst

NEW YORK-10016, NY, US
07/08/2019

-

Required Skills

Microsoft Office Suite

Company

Infinity Consulting Solutions, Inc

Experience

Job Description

The Compliance Associate's day to day responsibilities will:

Complete HO and Compliance reporting requirements Monitor and track Banking's compliance with policies and procedures Conduct testing of controls to determine effectiveness within the first line of defense, as well as to develop creative automated solutions to address testing needs and present information in a concise and comprehensive manner Draft and update policies and procedures, and prepare training materials Provide real time advice / guidance on policy, procedure and / or regulatory requirements to the business Review marketing materials prior to external distribution in order to determine compliance with policy, procedure and regulatory requirements Prepare monthly reports of compliance metrics to Banking senior management Fulfill role of Banking's key risk contact for certain key risk categories within the Operational Risk framework Assist with monthly key risk assessments as part of the overall Operational Risk framework within NAB Assist in responding to information requests from internal audit, internal testing teams, as well as external auditors Coordinate and document results of Reputational Risk Reviews within Banking Assist in the drafting and updating of policies and procedures Identify, analyze and escalate compliance and/or regulatory issues within NAB to determine their root cause and work with others to resolve the issues Assist with the implementation of changes to the Compliance Risk Management platform, as well as internal policies and procedures, to understand impact and ensure compliance review procedures are updated as appropriate.

Stay current on regulatory changes

Interact and maintain highly effective partnerships with line of business management and staff

Provide assistance, support and management of other projects as assigned

Skills: -

5+ years of relevant work experience

Series 7 and Series 24 required or the ability to obtain the Series 7 and 24 within the first 6 months of employment Broad working knowledge of laws and regulations related to areas of assignment Demonstrated ability to develop project plans and independently coordinate and complete projects in a timely manner Strong Critical Thinking and Problem Solving Skills

Self-starter

Ability to analyze complex laws and regulations Quick and accurate reading comprehension
Efficient and Accurate record keeping Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner Ability to influence others' actions and decisions without express of authority

Proficiency in Microsoft Office Suite and other utility applications (e.g., Adobe Acrobat, PowerPoint, and Excel)