Compliance Surveillance Analyst Job in New York, New York Us
Our client, a prominent wealth management and investment advisory firm, seeks a Compliance Surveillance Analyst. Qualified candidates must have Reg 9 experience, experience with Trust Banking and Banking Regulations and have gone through testing for examiners.
Responsibilities to include working with management to complete the detailed annual examination associated with the review of client trust accounts throughout the various regions; assisting with client account reviews and draft report results for review by Chief Compliance Officer; assisting in all phases of preparation for regulatory examinations and Trust Account Reviews.
Qualified candidates will have a Bachelor’s degree with a minimum of two (2) years Securities experience, as well as:
· Knowledge in monitoring fiduciary regulatory requirements (OCC rules, FDIC, Federal Reserve, SEC, FINRA), including, but not limited to – Bank Secrecy Act/Anti-Money Laundering, Gramm Leach Bliley Act requirements, Customer Identification Program enforcement and Regulation 9 requirements regarding Trust investments and Account administration.
· Ability to analyze client cash activity and develop appropriate methods of identifying suspicious transactions.
· Working knowledge of NASD broker/dealer requirements including, branch reviews and/or federal and state regulations.
· Specific bank/trust related Compliance or regulator experience preferred.
· Series 7 and 24 licenses a plus.
For immediate consideration, please forward resume and salary history to scnewyorkdh@specialcounsel.com