Regulatory Reporting Senior Specialist recruitment
- Prepares and reviews investigative file documents for regulatory inquiries, subpoenas, and Suspicious Activity and coordinates with the Office of General Counsel to ensure that items are appropriately addressed in the response. This requires that the incumbent have an understanding of the inquiry, the applicable supporting documentation regarding the matter, and apply some iudgement in drafting less complex responses for further review.
- Prepares written summaries of high risk events (such as AML Sanctions, client issues, etc.) typically for the Partners responsible for risk, Office of General Counsel, and relevant LOBs. This requires strong analysis and written communication skills.
-Reviews regulatory reports (such as Suspicious Activity Reports, OFAC Filings, etc.) and supporting documentation to ensure agreement prior to report submission to authorities and ensure compliance with internal procedures.
-Prepares other departmental and matter management reports as needed. Includes supporting testing, validation and preparation of the Department’s annual report and annual risk assessment. Validation of underlying testing required.
-Assists in the maintenance and enhancement of firm wide policies and procedures, for example comparing policy drafts with regulatory new rulings to ensure accuracy and completeness.
-Gather documentation necessary for examination and audit by external parties. Assist in the coordination of examiners, auditors or other third parties as it relates to AML, Sanctions, Banking and Privacy reviews.
- Provides support on special projects as needed (ex: regulatory driven projects). Examples include; maintain project records, documenting the status of projects, working with department head to reconcile documentary evidence of projects, etc.
- Assist in the coordination of the global team meetings for MLRO’s and minting meetings/action plans.
- Other projects as assigned
-Assists in maintaining department budgets and reporting on internal and external expenditures related to AML and Banking Compliance.
-Provides support to department head and other members of the department as needed. This includes, but is not limited to, scheduling meetings, providing phone coverage, facilitating travel arrangements, maintaining files, preparing presentations, etc.