Job #: 2252

Title: Compliance Analyst


  • Northern New Jersey
  • Job Type:

  • Contract
  • Contract Pay Rate:
  • $25-50
    • Anywhere
    • Posted 1 year ago

    The  Affiliate & Vendor Management Oversight group  provides strategic direction and support as it relates to external vendors and internal affiliates. This group ensures that all planning, processes, policies, governance and controls support the Bank’s businesses in an efficient and effective manner. The role involves daily interaction with various BUSA & Banking Product support teams to help drive client experience, process and performance improvements

    Key competencies and responsibilities
    6-9 month project to enhance affiliate oversight processes
    Build new process/data query to identify securities issued by various legal entities across the firm
    Enhance process to monitor, document, and investigate inter-entity transactions
    Document processes (via flowcharts) for all 23A covered transactions as shown in the daily exposure report
    Document the entire process (e.g. data flow/IT process/who does what) for each line item in the daily exposure report
    Document rationale for oversight activities for inter-entity framework/governance
    Design and implement the governance process to document 23B market analysis
    Facilitate affiliate team with scorecard reporting and review
    Establish monitoring workflow and testing procedures for inter-entity oversight

    Your experience and skills
    Bachelor’s degree, Accounting, Finance, or Business Management preferred
    5+ years of compliance experience, Operations and Reg. W expertise preferred
    Effective interpersonal communications skills to simplify complex compliance requirements to reporting data
    An expert problem solver
    Experience in mapping procedures and Ops is a plus
    Detail-oriented with strong organizational skills
    Full working knowledge of Microsoft Office


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