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Compliance Specialist
People's United Bank
New York, NY, United States
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Job Description
This position is responsible for the development, implementation and monitoring of the processes and procedures necessary to ensure legal and regulatory compliance.
II. Principal Responsibilities:
Develops, implements and maintains processes and procedures to ensure that the firm meets its legal and regulatory compliance requirements. Effectively executes these processes and procedures to support PUA employee efficiency and ensure that PUA customer service expectations are met.
Produces internal and external management reports as required by internal and external auditors or examiners.
Manages required documentation, correspondence and customer data to evaluate transaction suitability. Maintains information on file with regulatory agencies as needed.
Applies specialized knowledge to educate organization regarding all current legal and regulatory requirements.
Adheres to compliance procedures and internal/operational risk controls in accordance with any and all applicable regulatory standards, requirements, and policies.
Job Requirements
College degree or equivalent work experience required.
1-3 years relevant experience.
IV. Additional Job Requirements:
Certification/License:
Series 7, 63 and 24 are required.
Must obtain Series 53 within 6 months of hire and Series 65 and Life & Health license within 18 months
Behavioral/Technical Skills:
Ability to utilize knowledge and resources to keep informed of changing legal and regulatory requirements.
Ability to share knowledge and work with a team.
Strong written and verbal communication skills with a demonstrated ability to write communications clearly, effectively and concisely.
Proficiency in the use of word processing and spreadsheet software. Ability to master other software applications, including but not limited to, archive review tools and document imaging software.