-
Compliance Officer
6 days ago
Kohlberg Kravis Roberts & Co. New York, United States**COMPANY OVERVIEW** · KKR & Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplin ...
-
Compliance Officers
1 week ago
Flagstar Bank Hicksville, NY, United StatesThe Senior Compliance Testing Analyst assists the Governance and Standards (G&S) Team in the development and implementation of all G&S initiatives. Knowledgeable in the area of compliance testing with an understanding of compliance risk and controls. Perform activities, as needed ...
-
Compliance Officers
1 week ago
Flagstar Bank Hicksville, United StatesRegulatory Compliance is responsible for developing and maintaining a Compliance Management Program for the Bank that reasonably ensures compliance with consumer protection laws and regulations, addresses associated risks of harm to consumers and customers, and integrates consume ...
-
Homecare Compliance Officer
6 days ago
Anchor Health Home Care Brooklyn, United States_At Anchor Health Home Care, we deeply appreciate the privilege of being welcomed into the family circle to provide care for our neighbors' beloved family members._ Our dedicated corporate office team at Anchor Health Home Care serves as the central hub for communication among cl ...
-
Homecare Compliance Officer
4 days ago
Anchor Health Home Care Brooklyn, United StatesAs a **Compliance Officer **you will be responsible to implement compliance policies and procedures throughout our nursing and HR departments to ensure that all processes are in compliance with the DOH regulations. · **Compliance Officer Responsibilities and Requirements**: · - I ...
-
Compliance Officer, Us
2 days ago
Raisin New York, United StatesYour Responsibilities · As our US Compliance officer, you'll be the lead for compliance in one of our fastest-growing and dynamic teams. You'll lead our independent function in the US and report into our Compliance team based in Head Office, but will work closely with the US exec ...
-
Insurance Compliance Officer
4 days ago
Sonata Healthcare New City, United States**Sonata Care is one of the top insurance brokerages in the nation**. We are looking for an experienced Insurance Compliance Officer to join our team · We have a 5-star office environment - our company is growing fast, and this is an opportunity for you to come onboard and grow w ...
-
Employee Compliance Officer
1 week ago
Sumitomo Mitsui Banking Corporation Jersey City, United StatesSMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 ...
-
Compliance Testing Officer
1 week ago
Flagstar Bank Hicksville, United StatesPosition Title · Compliance Testing Officer - Financial Crimes · Location · NYCB Plaza -102 (Hicksville, NY) · Job Summary · The Financial Crimes Compliance Testing Officer is responsible for performing monitoring and testing to ensure that business units are complying with appli ...
-
Compliance Testing Officer
1 week ago
Flagstar Bank Hicksville, United StatesPosition Title · Compliance Testing Officer - Private Banking & Wealth Management · Location · NYCB Plaza -102 (Hicksville, NY) · Job Summary · The Compliance Testing Officer is responsible for performing monitoring and testing to ensure that business units are complying with app ...
-
Compliance Testing Officer
1 week ago
Flagstar Bank Hicksville, United StatesPosition Title · Compliance Testing Officer - Consumer & Commercial Banking · Location · NYCB Plaza -102 (Hicksville, NY) · Job Summary · The Compliance Testing Officer is responsible for performing monitoring and testing to ensure that business units are complying with applicabl ...
-
Compliance Testing Officer
5 days ago
Flagstar Bank Hicksville, United StatesThe Financial Crimes Compliance Testing Officer is responsible for performing monitoring and testing to ensure that business units are complying with applicable laws, rules, regulations and firm policies and procedures related to Financial Crimes Compliance. This position is resp ...
-
Compliance Testing Officer
1 week ago
Flagstar Bank Hicksville, United States Full timePosition Title · Compliance Testing Officer - Private Banking & Wealth Management Location · NYCB Plaza -102 (Hicksville, NY) Job Summary · The Compliance Testing Officer is responsible for performing monitoring and testing to ensure that business units are complying with ap ...
-
Trust Compliance and Risk Officer
1 week ago
Amalgamated Bank of NY New York, United StatesAmalgamated Bank is seeking a Trust Compliance & Risk Officer to be responsible for the Compliance and Risk Management Program for the Bank's Investment Management Division/Trust Department and compliance with applicable federal/state laws and regulations, contractual obligations ...
-
Control Group Compliance Officer
5 days ago
DataAxxis Jersey City, United States**Position: Compliance Control Group Officer** · Contract Length: 4-months (military leave) · Pay Rate: 1099/C2C $650- $820 · Location: Hybrid/Manhattan or Jersey City Office · **Company Description**: · We are a global leading full-service investment banking and capital markets ...
-
Health Care Compliance Officer
6 days ago
NYC Careers Brooklyn, United States**Health Care Compliance Officer**: · - Apply**Health Care Compliance Officer**: · - Agency: FIRE DEPARTMENT · - Posted on: 05/08/2024- Job type: Full-time · Location · BROOKLYN · - Title Classification: No exam required · Department · Legal - CDLS · - Salary range: $80, $208,826 ...
-
Fincrime Compliance Officer Legal Rules
16 hours ago
Barclays New York, United States**FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President** · **New York, NY** · As a Barclays FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President (VP), you will be directly assisting the Americas Head of Financial ...
-
Santander US New York, United StatesExecutive Director, Compliance-Control Room Officer · New York, United States of America · The Santander CIB (US) Control Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The ED, C ...
-
Financial Crime Compliance Officer Legal Rules and
16 hours ago
Barclays New York, United States**Financial Crime Compliance Officer Legal Rules and Regulations Vice President** · **New York, NY** · As a Barclays Financial Crime Compliance Officer Legal Rules and Regulations Vice President, you will be directly assisting the Americas Head of Financial Crimes. This is an opp ...
-
Barclays New York, United States**VP, Control Room and Research Compliance Officer** · **New York, NY** · Barclays Services Corp · **What will you be doing?** · Barclays Services Corp seeks VP, Control Room and Research Compliance Officer in New York, NY (multiple positions available): · - On behalf of a global ...
Compliance Officers - Hicksville, NY, United States - Flagstar Bank
Description
The Compliance Testing Officer is responsible for performing monitoring and testing to ensure that business units are complying with applicable laws, rules, regulations and firm policies and procedures.
This position is responsible for completing compliance testing and monitoring of first line activities to ensure appropriate controls are in place for achieving and maintaining compliance with banking laws and regulations Serve an important role in the Regulatory Compliance Department ensuring an effective Compliance Management Program is in place.
Pay Range:
$84, $112, $168,058.52
Participate in the planning, fieldwork, and reporting phases of assigned Compliance Testing reviews.
Identify the objective, scope and depth of testing through the review of the risks and controls identified in the Compliance Risk Assessment or any other means.
Assist in the development and preparation of test scripts and other supporting workpaper documents to ensure testing sufficiently covers regulatory requirements and business unit activities that are in scope for the review.
Perform testing and complete well documented workpapers to effectively assess the control environment and support testing results and conclusions.
Schedule and participate in commencement and exit meetings with business unit leaders and stakeholders.Prepare draft finding summaries that specify the findings and recommendations for implementing control or process improvements.
Obtain management agreement of findings through factual correctness conversations.
Obtain management corrective action plans with respect to any issues identified.
Document findings and management action plans in accordance with the Bank's Issue Management process.
Perform follow-up to ensure timely completion of corrective actions and validate remediation activities for issue closure with Team Lead and Senior Manager.
Participate in other testing and monitoring activities including, KRI and KPI reporting, ad-hoc testing, etc.Identify and recommend efficiency improvements to Compliance Testing processes.
Provide support and guidance to newer members of the Compliance Testing team.
Participate and perform other functions and special projects as assigned.
Complete all required compliance and other firm required training.
Maintain knowledge of and adhere to all applicable internal compliance policies and procedures and other internal policies and procedures applicable to role.
Maintain knowledge of new and changing applicable compliance rules and regulations.Stay informed of changing regulatory requirements and the firm's business model that might impact the firm's compliance framework and the Compliance Testing plan.
ADDITIONAL ACCOUNTABILITIES
Performs special projects, and additional duties and responsibilities as required.
Consistently adheres to regulatory and compliance policies and standards linked to the job as listed and complete required compliance trainings.
Accountable to maintain compliance with applicable federal, state and local laws and regulations.Required Qualifications:
Education level required:
Bachelors' Degree or equivalent work experience.
Minimum experience required: 5+ Years of Financial Services experience, preferably at least half of those years in Compliance Testing, Internal Audit function or a financial services consulting firm (i.e. PWC, E&Y, Grant Thornton, other) with regulatory compliance testing as an area of focus.
Preferred Qualifications:
~ CRCM, ACAMS, or Securities Licenses preferred but not necessary.
Job Competencies:
Functional knowledge of consumer protection laws and regulations impacting financial institutions.
Excellent organization and communication skills.
Ability to partner effectively across the organization and develop positive working relationships.
Ability to prioritize assignments and handle multiple projects simultaneously.
Ability to work both independently and in a team-oriented environment.
