Compliance Officer

Financial Jobs NYC #20137


Compliance Officer role at top NYC investment bank to assist management in carrying out its responsibility for identifying operational risks control issues, establishing controls to mitigate such risks and maintaining the quality of the Bank’s control environment.


Compliance Officer Responsibilities:
  • Manage monthly risk assessment process
  • Complete annual risk reviews for outsourcing
  • Prepare schedule of services agreements (SoS) and service level agreements (SLA) documents as required.
  • Assist with completion of reviews by internal / external audit teams and assure resolution of any concerns identified.
  • Complete weekly / monthly management reporting processes for Key Highlights, Key Issues, Settlement Reporting, Basel II Reporting and other MIS / Quality Metrics as directed by management.
  • Complete individual area Risk Assessments and other risk control / compliance related initiatives as required.
Compliance Officer Requirements:
  • 1-3 years experience in financial markets
  • BA in related field
  • High level of initiative, integrity and organization
  • Strong communication skills
  • Proficient in various technologies including Excel, Work, PowerPoint

Ready to advance your career? Apply Now.

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