- Conduct alert reviews and investigations and request additional information from applicable stakeholders as necessary.
- Perform Quality Assurance on false positives and communicate deficiencies to the appropriate party.
- Keep abreast of new rules and AML typologies relating to specific business lines.
- Escalate alerts to Compliance 2LOD as necessary.
- Analyzes existing and proposed legislation, regulatory announcements, and industry practices for compliance requirements, and implements procedures to meet these requirements for applicable business units.
- Assesses procedures and policies to ensure the business units are in compliance with standard regulatory and policy requirements.
- Coaches and reviews work of junior colleagues.
- Collaborates with teams on projects and program tasks intended to improve compliance and enhance the control environment.
- Evaluates controls in place to ensure continuous compliance measures with laws, regulations and policies affecting the organization, recommends process improvements to management.
- Identifies systemic procedural weaknesses and additional training requirements needed to ensure compliance.
- Prepares drafting of policy and procedural documentation when control changes are made.
- Validates controls or project plans to ensure compliance with laws, rules and regulations
- Acts as a subject matter expert (SME) while providing leadership, guidance, and mentorship to other team members.
- Bachelor's Degree; Business, Finance or equivalent field.
- 5-9 years; Compliance, Legal, Regulatory, or Risk Management
- Ability to effectively deal with senior management as well as stakeholders from different functions and levels of the organization.
- Ability to influence others, including senior leadership.
- Ability to mentor and guide staff and numerous projects simultaneously and to change direction as project demands dictate.
- Ability to effectively and clearly communicate instructions to others, summarize and articulate issues, and document findings in a clear and concise manner.
- Ability to read, analyze and interpret government regulations, trade journals and legal documents
- Ability to resolve complex situations with internal clients and stakeholders, while maintaining a professional presence.
- Advanced Microsoft Office (Excel, Word, PowerPoint, Outlook) skills.
- Excellent verbal and written communication skills.
- Familiarity with the operations of a financial markets business within a global bank.
- Familiarity with US, EU and Global regulations affecting an institutional financial markets business including Dodd Frank, MiFID, EMIR, SEC/FINRA regulations, and banking laws.
- Familiarity with the risk management and oversight structure of a global bank.
- Strong project management skills.
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Associate, Business Control - New York, United States - Santander Bank
Description
Associate, Business Control & Risk Management
New York, United States of America
The Associate, Business Control & Risk Management operates within the First Line of Defense and is accountable to assist the Business Control & Risk Management team in driving effective and consistent business line execution against the Enterprise Risk Management Framework. Specifically, the Associate works to identify, assess key risks and control effectiveness throughout the assigned business line by driving business unit adherence with applicable risk frameworks, Corporate/Business Line policies and standards. S/He will also assist with completion of business line risk initiatives, as assigned, such as risk assessments, KRI/KPI development and monitoring, and on-time remediation of issues.
The Associate must be able to effectively partner with various stakeholders.
Responsibilities:
Qualifications - External
Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law.
Working Conditions: Frequent Minimal physical effort such as sitting, standing and walking. Occasional moving and lifting equipment and furniture is required to support onsite and offsite meeting setup and teardown. Physically capable of lifting up to fifty pounds, able to bend, kneel, climb ladders.
Employer Rights: This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any time. This job description is not a contract for employment and either you or the employer may terminate at any time for any reason.
For NYC Job Applicants: The base annual salary range for this position is $92,700-$115,000. The exact compensation may vary based on skills, experience, training, licensure and certifications and location.
English
Primary Location: New York, NY, Madison Ave Corp
Other Locations: New York-New York
Organization: Banco Santander S.A.
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