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Supports the day-to-day efforts related to assessing whether assigned areas are in compliance with relevant laws, rules, regulations and policies and that control mechanisms are being deployed as expected. Under moderate supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues. May begin to suggest changes to improve work processes. With moderate guidance, researches and collects data on compliance and control-related activities. Compiles data into a useable format for more senior team members. Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy. Prepares reports for management on compliance status and reviews reports with more senior roles to confirm accuracy and completeness. Counsels business personnel on remaining in compliance or improving their alignment with established controls and compliance goals. Identifies compliance issues and escalates to more senior staff. With moderate guidance, provides technical support for professional staff's assessment of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting the assigned areas. Produces standard quantities of data to support risk based reviews of existing and emerging regulatory requirements. Escalates issues to more senior support staff. No direct reports. Contributes to the achievement of team objectives. Modified based upon local regulations/requirements.
Bachelor s degree or the equivalent combination of education and experience is required. 2-3 years of total work experience preferred. Experience with Financial Services Industry regulations, compliance operations or auditing preferred. Experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.
Company is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.
Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Primary Location:United States-New York-Oriskany
Organization:Compliance & Ethics-HR06015
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