Compliance Analyst I in New York, NY at ConsultNet

Date Posted: 1/22/2020

Job Snapshot

  • Employee Type:
  • Location:
    New York, NY
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
  • Job ID:

Job Description

Title: Compliance Analyst I
Location: New York, NY
Duration: 6 months+
Pay Rate: DOE (Depends On Experience)

The Compliance Associate's day to day responsibilities will:
  • Complete HO and Compliance reporting requirements
  • Monitor and track Banking's compliance with policies and procedures
  • Conduct testing of controls to determine effectiveness within the first line of defense, as well as to develop creative automated solutions to address testing needs and present information in a concise and comprehensive manner
  • Draft and update policies and procedures, and prepare training materials
  • Provide real time advice / guidance on policy, procedure and / or regulatory requirements to the business
  • Review marketing materials prior to external distribution in order to determine compliance with policy, procedure and regulatory requirements
  • Prepare monthly reports of compliance metrics to Banking senior management
  • Fulfill role of Banking's key risk contact for certain key risk categories within the Operational Risk framework
  • Assist with monthly key risk assessments as part of the overall Operational Risk framework within NAB
  • Assist in responding to information requests from internal audit, internal testing teams, as well as external auditors
  • Coordinate and document results of Reputational Risk Reviews within Banking
  • Assist in the drafting and updating of policies and procedures
  • Identify, analyze and escalate compliance and/or regulatory issues within NAB to determine their root cause and work with others to resolve the issues
  • Assist with the implementation of changes to the Compliance Risk Management platform, as well as internal policies and procedures, to understand impact and ensure compliance review procedures are updated as appropriate.
  • Stay current on regulatory changes
  • Interact and maintain highly effective partnerships with line of business management and staff
  • Provide assistance, support and management of other projects as assigned

  • 5+ years of relevant work experience
  • Series 7 and Series 24 required or the ability to obtain the Series 7 and 24 within the first 6 months of employment
  • Broad working knowledge of laws and regulations related to areas of assignment
  • Demonstrated ability to develop project plans and independently coordinate and complete projects in a timely manner
  • Strong Critical Thinking and Problem Solving Skills
  • Self-starter
  • Ability to analyze complex laws and regulations
  • Quick and accurate reading comprehension
  • Efficient and Accurate record keeping
  • Strong written and verbal communication skills including a demonstrated ability to clearly provide written reports that accurately and clearly summarize issues and present solutions in an understandable and logical manner
  • Ability to influence others' actions and decisions without express of authority
  • Proficiency in Microsoft Office Suite and other utility applications (e.g., Adobe Acrobat, PowerPoint, and Excel)

Be a part of the ConsultNet difference. As a leading national provider of IT staffing and solutions, ConsultNet delivers exceptional services to startup, midmarket and Fortune 1000 companies across North America. Since 1996, we've partnered with clients to create rewarding opportunities for our consultants, successfully building teams that have surefire results.
In the past two years alone, we have placed more than 1,500 consultants in contract, contract-to-hire, or direct placement opportunities. We understand communication is key to finding the right job that matches your skills and career goals. For us, it's not just the work that we do; it's how we do the work. Our breadth of offerings extends to multiple IT positions in major markets throughout the country, see more at