Reports to: EVP, CCO
- Assist Compliance Group EVP and SVP(s) in preparing Compliance advisory, reporting and presentation materials as required. Work closely with Compliance, Legal and Lines of Business to draft regulatory memorandums, compliance recommendations and materials to support regulatory applications.
- Coordinate, process and maintain documentation of government, regulatory and compliance submissions including examination requests, information requests, surveys, regulatory communication, and regulatory filing.
- Prepare governance documents and monthly/quarterly reports to the Bank, the Bank’s foreign affiliates and US affiliates, as required. Review and verify reports for accuracy.
- Perform and document research on various rules and regulations as requested. Weekly review and distribution to Senior Compliance members of law firm and industry publications regarding banking news, new and revised banking regulations.
- Serve as Secretary to Compliance Committee(s) including the preparation of compliance meeting materials and meeting minutes. Prepare and disseminate Committee agendas and dashboard submissions.
- Disseminate regulatory and compliance group information. Assist in monitoring Compliance Regulatory Change Management and Compliance Projects.
- Create and maintain internal compliance service level agreements, logs, indexes, files and other records pertaining to compliance risk.
- Assist in compliance functions including compliance risk assessment, maintenance of compliance issues in database, incident reporting, complaint management, gift and entertainment reporting, and record retention.
- Perform administrative tasks to aid in the functioning of the Compliance Group including general administrative support for compliance committee, conference calls, meeting minutes, travel, process vendor payments, budget and expenses. Prepare and submit analysis and reporting in these areas on an as needed basis.
- 5+ Year’s experience, Bachelor’s Degree
- Possess working knowledge of foreign bank industry and US Compliance laws and regulations
EXPERIENCE AND SKILLS:
- Confidentiality, integrity, pro-activity and discretion required
- Strong interpersonal and communication skills
- Ability to transpose and maintain accurate and timely meeting minutes and documentation
- Ability to read and interpret documents such as rules, operating manuals and procedure manuals.
- Ability to create governance reports and write simple business correspondence, such as emails and memos to internal and external customers.
- Excellent organizational skills and attention to detail.
Foster company success and vision through a professional appearance, being courteous to all personal, having a positive attitude and a pleasant disposition.