Associate Compliance Analyst

3 weeks ago

Hauppauge, United States Dime Community Bancshares Full time
Summary: Under the direction of the Compliance Testing Manager, the Associate Compliance Analyst is responsible for assisting with Dime Community Bank's Compliance Testing Program by completing compliance reviews. The role partners with business units to maintain a strong culture of enterprise-wide compliance with all applicable federal and state laws, and rules and guidance related to deposit and lending regulations.

Salary commensurate with experience, ranging from $45,000 to $55,000 annually. The exact compensation may vary based on relevant experience, skills, education, training, licensure and certifications, and location.

All applicants must attach a recent resume. This is a first level role in Banking Compliance. Applicants should read qualifications carefully.

Responsibilities:

  • Assist in the execution of all phases of compliance reviews including planning, testing, and reporting within established and agreed upon timeframes.
  • Assist in the execution of the established compliance review program, testing Dime's compliance with applicable federal and state laws and regulations.
  • Maintain detailed workpapers and documentation to support testwork performed, document testwork walkthroughs, and clearly document exceptions.
  • When performing compliance reviews, assist in the identification of weaknesses in compliance controls and working with compliance testing staff to determine root causes, risk ratings and potential recommendations.
  • Assist with uploading findings and action plans to Dime's Issue Management Tracking application.
  • Assist in the monitoring and follow-up of open findings to ensure timely resolution and closure by the business line.
  • Assist in the review of findings that have been closed by the business line ensuring appropriate supporting documentation has been uploaded and proper actions were taken to resolve the finding.
  • Perform assigned closure verification testing ensuring testing conforms to department guidelines, workpapers are complete and accurate, and testing is completed within established timeframes.
  • Communicate effectively in written workpapers and emails to ensure information is delivered appropriately and for the target audience.
  • Complete training assignments by the established due date(s).
  • Keep informed of regulatory changes and trends applicable to consumer compliance.
  • Perform special projects, and additional duties and responsibilities as directed.
Qualifications:
  • Bachelor's degree preferred. Minimum one year relevant experience in financial services in a consumer compliance-related capacity; or equivalent combination of education and experience.
  • Knowledge of banking products, services, policies, and procedures preferred.
  • Strong analytical and project management skills required
  • Ability to prioritize assignments and handle multiple projects simultaneously.
  • Strong interpersonal (verbal and written), organizational and presentation skills required.
  • Proficient in Microsoft Office Suite. Governance, Risk and Compliance (GRC) software experience preferred.
  • Demonstrated professionalism with all levels of an organization.


Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)

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