New York Compliance jobs for banking compliance officers OFAC compliance jobs

Jobs in Compliance in New York City banks - compliance jobs for compliance officers

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Compliance jobs by Filcro Financial Staffing Active Compliance Job Listings Salary Level Location New York, City NY New York, City NY New York City NY New York City NY New York City NY New York City NY New York City NY New York City NY STATUS OPEN FILLED

Compliance Officer - BSA / KYC / AML Compliance Officer

$75,000 to $80,000 $75,000 to $80,000

Office AVP Officer

Compliance Associate OFAC Compliance Officer Compliance Officer for Global Funds Services Bank Operations Compliance Officer Head of AML and BSA Surveillance Banker-Broker Dealer Compliance Officer Click on each compliance job above for complete details or to apply

$40,000 to $45,000 $150,000 to $185,000 $100,000 to $150,000 $100,000 to $150,000 $100,000 to $150,000 $100,000 to $150,000

Associate Vice President Vice President Vice President Vice President Vice President

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Position

Compliance Officer, AVP Bank Secrecy Act - BSA - AML - FinCen - OFAC - KYC Regulatory Compliance Department to $80,000 + Bonus with exceptional benefits New York, NY International Bank Specific Monitoring Responsibilities:

Salary Location Firm Responsibilities

OFAC Checking, FinCEN Checking, Required Know Your Customer due diligence Performs Politically Exposed Person (PEP) checks on Related Parties of the Customer Conducts Section 311 checks, sending any required Section 311 notices to customers, counterparties, and sub-custodians Complete and update Custody-Customer Profile/Regulatory Compliance Checklists for new or existing Customers; Verify accuracy of documentation for Customer Identification Program Verify that all account opening regulatory requirements are satisfied

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New York Compliance jobs for banking compliance officers OFAC compliance jobs

Review daily reports on the variances from established threshold amounts concerning sources of all new custodial assets Review daily reports on the activities and holdings in Medium High,High & designated Medium Risk Checks all banks, counterparties, brokers, SWIFT messages, securities, custody accounts, subaccounts, third party advisers, vendors and employees against OFAC/FinCEN list. Review for accuracy and update BSA Risk Matrices and the Custody Customer Profiles/ Regulatory Compliance Checklists; Test newly generated KYC reports developed by IT Assist IT with related technology Compliance system upgrade projects as needed Reviews BSA Questionnaires for Foreign Financial Institution Custodial Customers, and BSA Questionnaires for Sub-custodians, as required Participate in changes of existing thresholds, monthly Reconcile BSA Compliance Officers data with Custody Administration Dept. monthly Coordinates with BPP obtaining completed BSA/AML Questionnaires from FFI customers Verify accuracy of documentation regarding Information from Third Party Investment Managers/Advisers with Authority to Instruct concerning custodial accounts Works closely with members of the Legal Department, and the Internal Auditor to continually work to improve the Banks existing program Works closely with all relevant departments of the Bank to ensure compliance by those departments with their regulatory BSA/AML responsibilities, including in connection with account opening and monitoring. Stays current with legal and regulatory changes as they relate to BSA/AML requirements.

Requirements

5-7 years Bank Compliance experience in BSA/AML laws and regulations (FinCen, OFAC, KYC) Excellent communication and interpersonal skills Excellent Excel / Access/ Word skills

Contact

Helene Crocitto Executive Vice President Filcro Financial Staffing 521 Fifth Avenue New York, NY 10175

Please leave the term "Compliance Officer" in the subject line. Thank you. Resume link for this position: E-mail Resume Fax 212-599-5050

Title Salary Location Availability Summary

Compliance Officer $75,000 to $80,000 plus bonus plus outstanding benefits and growth New York City, NY - U.S.A. Immediate The Compliance Officer is responsible for executing the compliance duties and functions ensuring that effective internal controls are maintained throughout the branches as they relate to branch operations. This position reports to and works in close coordination with the Senior Compliance Manager. The purpose of this position is to monitor full compliance with U.S. banking laws, applicable securities laws and regulations, internal policies and procedures, and report discrepancies to Senior Management.

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New York Compliance jobs for banking compliance officers OFAC compliance jobs

Responsibilities

Administer and execute the Regulation 9 Review program as well as other Discretionary Asset Management Compliance Related Functions. Attend Investment Committee meetings Oversee the Junior Compliance Analyst and assist in the execution of the Compliance Monitoring Program in accordance with the established schedules for banking reviews. Assist in the periodic review and update compliance related policies and procedures to ensure that policies are adequate and in compliance with applicable U.S. laws and regulations. Assist in the execution of the Compliance Training Programs to address all policies and procedures, as well as all applicable U.S. laws and regulations. Compile and maintain training materials and conduct training sessions for all new and existing employees. Assist with the coordination of all regulatory agency examinations, other external and internal audits and Head Office Requests such as KRIs and Quarterly Compliance Certificate Information to ensure that compliance issues are adequately addressed in connection with such exams or audits. Assist with all compliance and risk management related issues that may arise from time to time from all departments within Global Private Banking-USA. Research and respond to compliance-related questions from management, using internal and/or external legal counsel, compliance library and regulatory reference materials, regulatory agencies and professional compliance associates. Assist in the review of all advertisements, brochures, lobby notices, signs and other promotional materials prior to printing to ensure their compliance with regulations, and ensure that all obsolete and non-complying promotional materials are promptly destroyed. Review new client and existing relationships, as well as, special Letter of Credit transactions for KYC and/or EDD for signoff purposes. Investigate, process and maintain a log of Suspicious Activity Reports as necessary ensuring that information is disseminated to the appropriate authorities in an efficient manner. Investigate, process and maintain a file for Fraud Attempts ensuring that the information is disseminated to appropriate staff and/or authorities in an efficient manner.

Skills Required Contact

Related experience to the above functions Ms. Helene Crocitto Executive Vice President Filcro Financial Staffing 521 Fifth Avenue Suite 1801 New York, NY 10175

Resume E-mail - Please leave Compliance Officer - Private Banking in the subject line Resume Fax: 212-599-5050

Title Salary Location Availability Summary

Compliance Associate $40,000 to $45,000 plus bonus plus stock plus outstanding benefits and growth New York City, NY - U.S.A. Immediate This is a Leading International hedge funds manager with assets under management in excess of $20billion. It is Domestic based with strong International presence. Position reports to the General Counsel/Chief Compliance Officer. The firm is known for career development for talented professionals. Assist with all securities compliance projects. Review documents to ensure compliance with existing standards.

Responsibilities

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New York Compliance jobs for banking compliance officers OFAC compliance jobs

Enhance internal control processes and procedures. Prepare management reports and analysis for Senior Executives. Assist various areas of compliance (i.e. Investment Advisor Act, Investment Companies Act, Securities Act, etc.). Skills Required College Graduate with a related internship in securities compliance required. Candidate should have an interest in asset management with an emphasis on hedge funds and securities compliance. Must be a highly ambitious, self-starter, extremely detail oriented, highly organized and possess strong verbal and written communication skills. PC literacy required. Ms. Helene Crocitto Executive Vice President Filcro Financial Staffing 521 Fifth Avenue Suite 1801 New York, NY 10175

Contact

Resume E-mail: Helene Crocitto Resumes: In Microsoft Word w/ salary history, please. In the subject line place the words "Compliance Associate" Thank you.

Title Salary Location Availability Summary

OFAC Compliance Officer $150,000 to $180,000 plus bonus plus stock plus benefits New York City, NY - U.S.A. Immediate Major U.S. banking institution seeks an OFAC compliance professional in New York with the ability to work effectively within the organization in the areas listed below. Support with the dissemination of OFAC updates Bank wide. To coordinate, and administer compliance training. Coordinate the periodic designation and changes of Sector OFAC Coordinators (SOC)s. Assist SOCs in implementing the requisite procedures to comply with the embargo programs, including assistance with any required changes to the procedures and in addressing embargo and blocking matters. Assist Affected Areas in assessing the need to use electronic scanning or other alternative means to identify property, customers and transactions within their business operations that may be subject to the US Embargo Programs. Assist developing and enhancing OFAC automation, such as reviewing specifications and making recommendations. Coordinate, prepare and file the Annual Blocked Property Report required by OFAC. Assist business groups with the review of clients, products and services, including transfers and payments. Perform OFAC Compliance testing (e.g. SDN database tests). Prepare correspondence; including self-disclosures, responding to OFAC queries and other OFAC related matters. Coordinate projects, such as the dissemination and review of surveys, and reporting results to management. Maintain records and files. Qualified candidates must have at least 5 to 10 years related bank compliance or compliance audit experience in a major banking institution or regulatory agency with a strong background and a broad understanding of the USA PATRIOT Act, Bank Secrecy Act, OFAC Sanctions, Anti-Boycott, Anti-Trust, UCC, the Federal Reserve Operating

Responsibilities

Skills Required

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New York Compliance jobs for banking compliance officers OFAC compliance jobs

Circulars and Regulations D, E, H, J, O, P, W, Z, CC, DD, and the FRB/FFIEC Examination Manuals. Bachelor's degree or equivalent required preferably in business, finance, accounting, law or economics. MBA or CPA qualification is desirable. Contact Ms. Helene Crocitto Executive Vice President Filcro Financial Staffing 521 Fifth Avenue Suite 1801 New York, NY 10175

Resume E-mail: Helene Crocitto Resumes: In Microsoft Word w/ salary history, please. In the subject line place the words "OFAC Compliance Officer" Thank you.

Title Salary Location Availability Responsibilities

Compliance Officer Vice President for Global Funds Services to $150,000 plus bonus plus stock plus benefits New York City, NY - U.S.A. Immediate Individual will serve as the Compliance Officer for Hedge Fund Accounting and Administration, Mutual Funds Custody, Mutual Fund Accounting, Unit Investment Trusts, Investment Managers Services, Outsourcing and other units within the Global Funds Services Division. Position reports to the sector compliance officer and partners with the business units to assure an effective compliance program is established against each major law, regulation, or other obligation by informing management how to comply and monitoring the business unit's performance; by working with line management to develop and implement the program; and by alerting management to compliance issues and gaps and working with management to resolve them. Administer the annual Compliance Initiatives Program for the specified business units; coordinate with the Legal and Audit division and respective line management to identify legal and regulatory issues and requirements. Assists business units to establish and maintain departmental procedures, oversees and participates in on-going staff training regarding compliance; work with business units to identify and address issues in new products and services and changes to exiting ones. Coordinate with the Credit Risk, market Risk and Operational Risk Management divisions and participate in Business Infrastructure. Coordinate regulatory examinations, serving as point person for examinations and responses. Monitor business unit compliance activities by performing independent assessments of business practices and reviewing MIS reports generated/prepared by the business unit. Report on compliance issues to business management and recommend additional or enhanced procedures, training and/or monitoring, and sharing best practices among the Global Compliance division.

Skills Required

Qualifications will include a minimum of 10 years compliance, regulatory or audit experience related to Hedge Fund Accounting and Administration, Mutual Fund Custody, Mutual Funds Accounting, Unit Investment Trusts, Investment Managers Services and Outsourcing areas. Law Degree is preferred, but not required! Excellent writing and interpersonal skills required.

Contact

Ms. Helene Crocitto Executive Vice President Filcro Financial Staffing 521 Fifth Avenue

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New York Compliance jobs for banking compliance officers OFAC compliance jobs

New York, NY 10175

Resume E-mail: Helene Crocitto Resumes: In Microsoft Word w/ salary history, please. In subject line place / leave the words "Compliance Global Funds Services" Thank you.

Title Salary Location Availability Summary

Bank Operations Compliance Officer to $150,000 plus bonus plus stock plus benefits New York City, NY - U.S.A. Immediate Major U.S. banking institution seeks an OFAC compliance professional in New York with the ability to work effectively within the organization in the areas listed below. Responsibilities involve the administration of the compliance function including monitoring in the Banking Operations Group (Funds Transfer, Deposit Services, Trade Finance, Loan Operations, Trading Services Support, Central Billing, and Client Technology Delivery Services), the Global Payments Services (Bank Product, Domestic and International Cash Management) and the Corporate Security Division. Specific responsibilities include working with senior management to develop a business unit compliance program, represent compliance at various committees, identify laws and regulations applicable to the business lines, review compliance policies, procedures and monitoring systems, develop compliance training plan for key regulations, develop compliance monitoring plan and perform periodic testing of targeted regulations, identify changes to laws and regulations and support enhancement of related policy, procedures and systems, interface with bank regulators and auditors including follow-up on findings, and review new products, projects and business initiatives for regulatory compliance. One of the more important responsibilities includes oversight and review of the business areas AML/BSA/KYC policies, procedures and intelligent transaction monitoring systems.

Responsibilities

Skills Required

Qualified candidates must have at least 5 to 7 years related bank compliance or compliance audit experience in a major banking institution or regulatory agency with a strong background and a broad understanding of the USA PATRIOT Act, Bank Secrecy Act, OFAC Sanctions, Anti-Boycott, Anti-Trust, UCC, the Federal Reserve Operating Circulars and Regulations D, E, H, J, O, P, W, Z, CC, DD, and the FRB/FFIEC Examination Manuals. Bachelor's degree or equivalent required preferably in business, finance, accounting, law or economics. MBA or CPA qualification is desirable. Ms. Helene Crocitto Executive Vice President Filcro Financial Staffing 521 Fifth Avenue New York, NY 10175

Contact

Resume E-mail: Helene Crocitto Resumes: In Microsoft Word w/ salary history, please. In the subject line place the words "Bank Compliance Officer" Thank you.

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New York Compliance jobs for banking compliance officers OFAC compliance jobs

Title Salary Location Availability Summary

Head of AML and BSA Surveillance to $150,000 plus bonus plus stock plus benefits New York City, NY - U.S.A. Immediate Major U.S. banking institution seeks an OFAC compliance professional in New York with the ability to work effectively within the organization in the areas listed below. Head of AML and BSA Surveillance Manage the AML and BSA surveillance functions for the institution; directly supervise AML Compliance employees who perform AML and BSA surveillance; indirect supervision of business groups performing surveillance. Evaluate all surveillance parameters throughout the bank, broker-dealer and asset management subsidiaries, and make and/or recommend surveillance changes where appropriate. Extensive work with the bank's surveillance system, including revising peer groups, developing new parameters, developing metrics of the effectiveness of surveillance system parameters, etc. Review various surveillance options for broker-dealer subsidiaries that do not use the Bank's surveillance system. Review and coordinate all AML surveillance procedures; make changes to ensure consistency of surveillance procedures from receiving the Bank's surveillance system alerts through the drafting of SARs. Review, amend, and approve all Retail branch procedures and changes therein regarding large currency transactions, cash sale of monetary instruments, suspicious activity reporting and all other BSA/KYC/AML/USAPA- related information Supervise the firms CTR filing process as well as surveillance of cash deposits and withdrawals. Review, amend/draft SARs and refer for AMLOC review. Administrative: review/sign off on T&Es; time sheets; billing; phone usage review; employee issues; prepare annual budget numbers from AML surveillance group. Review of Retail branch audit results and refer to BSA Compliance for follow up action where appropriate Monitor compliance with all BSA reporting and record keeping requirements Liaison with regulators regarding BSA/KYC/AML matters Regular interaction with Legal involving SAR filings or AMLOC referrals Coordinate response and action to be taken re. Fed and internal Audit examinations of surveillance issues. Coordinate with HR on employee issues and prepare annual employee performance appraisals Supervise cash letter surveillance, including revising criteria for surveillance, inquiries to the Relationship Managers, and drafting SARs where appropriate.

Responsibilities

Skills Required

Qualified candidates must have at least 5 to 7 years related bank compliance or compliance audit experience in a major banking institution or regulatory agency with a strong background and a broad understanding of the USA PATRIOT Act, Bank Secrecy Act, OFAC Sanctions, Anti-Boycott, Anti-Trust, UCC, the Federal Reserve Operating Circulars and Regulations D, E, H, J, O, P, W, Z, CC, DD, and the FRB/FFIEC Examination Manuals. Bachelors degree or equivalent required preferably in business, finance, accounting, law or economics. MBA or CPA qualification is desirable. Ms. Helene Crocitto Executive Vice President Filcro Financial Staffing 521 Fifth Avenue New York, NY 10175

Contact

Resume E-mail: Helene Crocitto Resumes: In Microsoft Word w/ salary history, please. In the subject line place the words "BSA Compliance

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New York Compliance jobs for banking compliance officers OFAC compliance jobs

Officer" Thank you.

Title Salary Location Availability Summary

Banker-Broker Dealer Compliance Officer to $150,000 plus bonus plus stock plus benefits New York City, NY - U.S.A. Immediate Major U.S. Bank has an excellent opportunity in its Corporate Compliance Department for an experienced bankbroker dealer compliance professional. Responsible for the Banks oversight of compliance issues related to its affiliated broker dealers affiliated. Specific responsibilities include: Familiarity with current regulatory initiatives and ability to map them to the businesses of the Banks broker dealers Facility with monitoring and review techniques to ensure that high risk regulatory issues are properly addressed by broker dealers Ability to materially assist in creating uniform approaches amongst broker dealers to core compliance issues, such as anti-money laundering, trade reporting, market manipulation, supervisory programs, registration and conflicts identification and resolution Judgment in tracking responses to internal and external audit compliance findings, and assessing completeness of remedies Ability to coordinate parallel projects at different broker dealers Flexibility to shift into short term intensive tasks to address regulatory gaps Acquaintance with core bank regulatory issues that affect affiliates, such as anti-tying, affiliate credit transactions and the obligations of agents

Responsibilities

Skills Required

Qualified candidates must have at least 3 years related bank or broker dealer compliance or compliance audit experience in a major banking institution, broker dealer or regulatory agency. Alternatively, experienced attorneys in these areas are welcome to apply. Bachelors degree or equivalent required preferably in business, finance, accounting, law or economics. MBA or law degree is desirable. Ms. Helene Crocitto Executive Vice President Filcro Financial Staffing 521 Fifth Avenue New York, NY 10175

Contact

Resume E-mail: Helene Crocitto Resumes: In Microsoft Word w/ salary history, please. In the subject line place the words "Banker-Broker Dealer Compliance Officer" Thank you. Bank Staffers Profile Current Search Assignments - Jobs Welcome & Banking News Terms and Conditions & FAQ's New Compliance Jobs in New York Ms. Helene Crocitto Executive Vice President

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New York Compliance jobs for banking compliance officers OFAC compliance jobs

Filcro Financial Staffing 521 Fifth Avenue New York, NY 10175 18th Floor Reception By Appointment Only Qualified candidates supplying resumes will be contacted for appointments. Resume Submission: Please use the supplied link in each open position for resume submission. Employers: Please contact Helene Crocitto by phone to initiate or inquire about filling your open positions. Thank you. Phone: 212-599-0909 Ext. 213 Fax: 212-599-5050 Compliance jobs in New York City banks for compliance officers seeking jobs in compliance

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