Senior Compliance Officer AML Exam Management Job in Long Island City, New York US
Reference Code: 10029691
Location: Long Island City, NY, USA
Education Level: Bachelor's Degree
Description
Assist with the coordination of AML regulatory exam and audit management globally. Work with Regulatory Authorities and Internal Audit to clarify the scope of document and information requests and, when necessary or appropriate, negotiating the scope of such document and information requests. Coordinate with appropriate Compliance Department Units, Legal Department staff, and retail and institutional Businesses to identify and gather responsive documents and information. Provide advice and guidance to various Compliance Department Units and the Business regarding document and information production issues. Ensure consistency, where appropriate on corporate AML audits and exams. May assist in identifying potential Regulatory issues during the examination, sweep or survey process and work to resolve such issues. Working with Regulatory Authorities to resolve issues that are identified by Regulators during the examination, sweep or survey process. Overseeing and/or managing CAPs. This includes identifying CAP owners; when necessary or appropriate, working with such personnel to develop a CAP; and ensure that target completion dates for CAPS are set and adhered to. Ensure the proper internal reporting and tracking of examinations, sweeps and surveys, the issues that arise during these processes, as well as necessary CAPs.