Compliance and Risk Management Specialist
6 days ago
About the Role
">- Support the monitoring and testing program to validate the efficacy of regulatory compliance internal controls.
- Assist in planning and executing monitoring and testing engagements for New York Branch (SMBC's NYB).
Responsibilities
">- Support examiner-in-charge of Compliance Monitoring and Testing engagements.
- Develop and refine monitoring and testing scripts.
- Prepare information requests and Announcement Memorandums.
- Perform field work to validate internal controls.
- Prepare cohesive work papers for each engagement.
- Identify issues and escalate with stakeholders.
- Draft Issue Memorandums and Reports for management.
- Register and track identified issues and corrective action plans.
Requirements
">- 5-7 years of banking and compliance experience.
- Fundamental knowledge of U.S. banking laws and regulations, with emphasis on BSA/AML and sanctions laws.
- ACAMS Certification (A Plus) is a plus.
- Strong communication and written skills.
- Able to multitask and perform work functions efficiently and timely.
What We Offer
">- A hybrid workforce model that provides employees with an opportunity to work from home and from an office.
- Reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law.
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