Our client is looking for a Chief Compliance Officer to ensure that our operations and business transactions follow all relevant legal and internal rules. Responsibilities · Leading the development, implementation, and maintenance of an anti-money laundering program. · Ensuring compliance with current AML regulations, and other relevant legislation. · Developing and maintaining a risk assessment framework for products and services, clients and customers, and other issues relating to money laundering. · Keeping and maintaining records of high-risk customers and reporting suspicious activities to the authorities. · Arranging and implementing inspections and audits from third-...
Compliance Trade Operations Supervisor reports to the Chief Operating Officer and is responsible for managing the day to day affairs of the Trade Finance and Trade Loans services. The position entails supervising staff, providing them with training, ensuring work processes within the guidelines laid out including compliance regulations not limited to BSA/AML and be a back-up to the Head of Operations and COO when necessary ESSENTIAL FUNCTIONS AND ACCOUNTABILITIES: Manage and effectively supervise the trade finance operations activities including Documentary Letters of Credit, Standby Letters of Credit/Guarantees, Bills and Loans Implement objectives, policies, procedures and u...
This role will contribute to Servicing and Operations along with supporting the compliance process and systems. This role will be 100% remote. Responsibilities Research and resolve reporting questions from internal and external counterparties Work with internal stakeholders to ensure data integrity of daily reporting, automation and customization Conduct hands on data mining and analysis to identify issues and improve operational processes Assist with a variety of activities related to the daily operations of the servicing team Enhance business operations by driving the creation of policies and procedures both internally and with our third-party servicer Assess current operation...
Compliance & Audit Analyst - Fintech Duties: Coordinate with Compliance, Product, Security and Operations leaders, engineers and business leaders to accomplish the following: Support our ISO 27001 Compliance and Audit activities throughout the year. Proactively identify areas of opportunity and suggest projects to improve controls while providing an awesome and delightful customer experience. Work with engineers to develop, test, and maintain accurate tracking, capturing and reporting of key evidence via server-side data collection and other database sources. Create tools/dashboards to present compliance data on demand. • Work with cross functional teams in support of In...
Chief Compliance Officer – Cryptocurrency Our client is looking for a Chief Compliance Officer to ensure that our operations and business transactions follow all relevant legal and internal rules. Responsibilities · Leading the development, implementation, and maintenance of an anti-money laundering program. · Ensuring compliance with current AML regulations, and other relevant legislation. · Developing and maintaining a risk assessment framework for products and services, clients and customers, and other issues relating to money laundering. · Keeping and maintaining records of high-risk customers and reporting suspicious activities to the authorities. · Arranging a...
Analyst - Regulatory Compliance Our client is a management consulting firm looking to hire people for a remote project. We are looking for multiple analysts candidate with strong Consumer lending knowledge. This candidate will have expertise with the Alphabet Regs. Analyst - Required Skills and Experience Bachelor’s degree and minimum of 3 years of regulatory compliance experience Experience in complaint management and analytics Advanced experience in Word, Excel, PowerPoint Experience with report and query generation tools Experience with MS Access and/or Tableau a plus Professional CRCM certification is desirable, but not required Experience in a bank or o...
Senior Director, Training Development - BSA/AML/OFAC Subject Matter Expert Position Summary The role is highly public facing where you will draw on your professional experience in financial crime prevention to moderate and program webinars, host events and interact with members, B2B clients and affiliates. The right candidate must be a polished presenter, have outstanding communication skills, be a quick learner who is self-guided, and personable. An entrepreneurial spirit is encouraged and expected - we maintain an agile and innovative environment. We invite creativity and are not afraid to push the envelope. We are looking for a BSA officer, looking to get out of the ra...
Chief Compliance Officer - Global, International Trade Department. A cryptocurrency firm that we work with is looking for a CCO for Global, International Trades Department. The BSA/AML Chief Compliance Officer oversees the day-to-day BSA/AML responsibilities within the Compliance Department and specifically the Global, international trades team and is accountable for the Department's performance as a whole. Responsibilities will include but are not limited to: Creating and maintaining a comprehensive Compliance Program featuring an AML/KYC Policy, a Risk Assessment, Training, and Independent Testing Regularly reading about new regulations in relevant jurisdictions and adjust...
Chief Compliance Officer – Domestic OTC Desk A cryptocurrency firm that we work with is looking for a CCO for there OTC Desk. The BSA/AML Chief Compliance Officer oversees the day-to-day BSA/AML responsibilities within the Compliance Department and is accountable for the Department's performance as a whole. Responsibilities will include but are not limited to: Creating and maintaining a comprehensive Compliance Program featuring an AML/KYC Policy, a Risk Assessment, Training, and Independent Testing Regularly reading about new regulations in relevant jurisdictions and adjusting the Program accordingly Reviewing and investigating alerts/high risk accounts, identifying s...
BSA/AML Supervisor – Risk Advisory Advisory and Investigation (LATAM) Responsibilities: Execute and oversee testing of business processes and identify areas of BSA/AML and Sanction risk for LATAM and/or Caribbean clients Review the implementation of BSA/AML and Sanction detection and prevention methods Develop creative and practical recommendations for improvement that address identified BSA/AML and Sanction risks Develop and maintain relationships with client personnel and commit to constantly improving their satisfaction Requirements: 5-7 years of experience within BSA/AML & Sanctions compliance environment LATAM and/or Caribbean experience preferred Preferred...
Compliance & Audit Analyst - Fintech Duties: Coordinate with Compliance, Product, Security and Operations leaders, engineers and business leaders to accomplish the following: Support our ISO 27001 Compliance and Audit activities throughout the year. Proactively identify areas of opportunity and suggest projects to improve controls while providing an awesome and delightful customer experience. Work with engineers to develop, test, and maintain accurate tracking, capturing and reporting of key evidence via server-side data collection and other database sources. Create tools/dashboards to present compliance data on demand. • Work with cross functional teams in s...
Manager - Regulatory Compliance Our client is a management consulting firm looking to hire people for a remote project. We are looking for manager level candidate with strong Consumer lending knowledge. This candidate will have expertise with the Alphabet Regs. Manager - Required Skills and Experience Bachelor's degree and minimum of 5 years of regulatory compliance experience CRCM designation is preferred Experience in a bank environment is required Direct experience dealing with regulators (FDIC, Utah Department of Financial Institutions) is highly desired Strong working knowledge of federal and state lending laws Excellent ability to analyze and interpret leg...
This team is on a mission to transform small business ( "SMB”) lending. Imagine a world where customers can access funding in hours whenever they need it. And then, imagine a world where we help SMBs make the right decision about when to take funding, how much to take, and what type. We're working to make this a reality. This company recently became an SBA Paycheck Protection Program (PPP) lender. We are helping our SMBs access relief funds using technology and data to simplify the process. The Compliance Contractor will report to the Head of Product Compliance for this company and will design/execute monitoring and contribute to the enhancement of our compliance processes...
Compliance Associate Director A midsize management consulting firm is looking for a Compliance Associate Director to have senior oversight of client regulatory compliance matters within the financial services division Considered candidates will: Support an entire sales cycle; pitches, proposals, follow-ons and general contract terms Lead a large portfolio of clients as the primary day-to-day oversight resource Have deep familiarity for practical compliance and regulatory matters relating to SEC (e.g. investment advisor) CFTC / NFA and Client (e.g. broker-dealer) rules, and other regulators where applicable Have familiarity with various regulatory mock examination audits, i...
Compliance Program Manager Our client is a major fintech firm looking to bring on an individual to develop, monitor and manage programs designed to ensure compliance with the following: Card Brand and NACHA rules and Regulations Sponsor Bank Requirements State and Federal Laws Responsibilities Participate in 3rd party and internal audits Responding to Card Brand/NACHA inquiries and violations Performing enhanced due diligence Ensure all aspects of regulatory compliance for Card Brands/NACHA across the firm. The candidate will coordinate with product managers to write detailed requirements and coordinate with product development teams to drive implementation. ...
AVP, Senior Compliance Officer JOB SUMMARY This position will assist in the implementation and monitoring of the Bank's Regulatory and Financial Crimes Compliance Programs. The candidate will work on profile exceptions and flags in ECS, eGIFTS and OFAC Verifier as part of the monitoring and filtering program. The Compliance Officer will perform testing and be responsible for assisting with the training program. The Compliance Officer will also (as needed) work with on-boarding new customers, Periodic Account Reviews and provide administrative support to the Compliance Department. DAY-TO-DAY RESPONSIBILITIES • Investigate and clear Profile Exceptions, Flags and eGIFT b...
Compliance Auditor The Compliance Auditor opportunity is for a major bank in Midtown, Manhattan and this individual will be responsible for financial audits in the AML/Compliance space. The Compliance Auditor individual will work both solo and as part of a team while performing test of controls. The Compliance Auditor individual will also be summarizing and reporting their findings, conclusions and remedies to upper management. Qualifications: Minimum 5 years of internal/external audit or compliance experience Banking or financial services background required – big 4 preferred Bachelor's degree in Accounting or the alike CPA or other professional certs a plus Th...
Fair Lending Consultant - Remote Our client is looking for Consumer Lending/Fair Lending Consultants who have experience in the retail banking space. These consultants can be remote and they will need experience performing the following functions: Consumer Lending Regulations Data Analasis Fair Lending Knowledge of consumer compliance (alphabet regs) Education: Degree is required CAMS certified is a plus but not required CRCM certified is a plus but not required 1-2 years of fair lending and/or Consumer lending regulatory experience Strong knowledge of Consumer Compliance (Alphabet regs) Retail banking compliance experience
A diversified commercial and consumer bank is seeking a Regulatory Liaison Analyst. The role can also be titled Legal & Compliance Support Analyst. The Analyst will be working with both the bank's Legal and Compliance departments to ensure that law enforcement cases, civil and criminal litigation and government/regulator investigations are handled in accordance with the bank's internal policies and procedures and relevant laws. The Regulatory Liaison Analyst will: Track and resolve cases to comply with service level agreements Handle cases related to confidential and/or sensitive subject matters Coordinate with multi-team partners to resolve requests and improve policy, ...
VP Head of Compliance Training Our client, a leading global financial services firm is seeking to add a VP Head of Compliance Training. This role has overall responsibility and accountability for contributing to developing and implementing the strategic direction for the policy governance and maintenance functions. Responsibilities Department Management. Working with the MD, Policies and Training to develop and implement the strategic vision for policy governance and management. Work with Compliance Policy Content Owners to harmonize global and regional policies and ensure regulatory changes are made on time and have been vetted and approved by the pre-release and/or l...