Compliance Technology AVP

New York, NY 10017

Employment Type: Direct Hire Industry: Accounting/Finance Job Number: 2995

Job Description

Top Tier mid-sized Financial Organization seeks Compliance Technology Assistant Vice President to be the IT SME for the Compliance Group.

This is a direct hire full-time role with a Premier mid-sized Financial Organization that offers competitive compensation and a great benefits package.

From a Compliance perspective, you will be responsible for the implementation, monitoring and maintenance of all Financial Crimes Compliance related systems, applications and models ensuring that these systems are operating effectively and as designed, to adhere to regulatory requirements.

This role is designed to be the Compliance liaison to Information Technology Group, Risk Management and outside Vendors through the TPRM process, to coordinate, communicate and escalate issues.

Responsibilities
  • You will attend ITG meetings that relate to Compliance systems or projects representing the Compliance Group.
  • Assist Financial Crimes Compliance with vendor on-boarding, system/model validation and maintenance process.
  • You will also assist with other AML team members for review and approval of sanction screening alerts.
  • Monitor and maintain the Compliance systems (such as Actimize and FIS Prime) to ensure each are operating effectively; based on daily ready for business communication or a request for assistance from the Compliance team. Generate Compliance reports as required in each tool.
  • Enhance and implement vendor and internal tools which would require: business requirement documentation development, inclusive of industry and departmental requirements, UAT testing, as well as detailed documentation, including desktop procedures.
  • Coordinate and engage in all Compliance system/model validations and internal/external testing.
  • Draft and maintain all model risk management model governance documentation, as it refers to Compliance systems and models.
  • Assist with the Third Party Risk Management process within Third Party Risk Management System, investigations and escalations on Sanction alerts and overall the BSA/AML Compliance team in monitoring, measuring and analyzing AML compliance risk.
  • Provide regular updates to BSA/AML Officer and members of the monthly Compliance Committee.
  • Attend annual external training to keep abreast of BSA/AML industry changes and present updates to the team.
  • Establish procedures and processes to maintain Compliance systems.
  • Develop and implement Compliance analysis design and criteria.
  • Support the maintenance of the BSA/AML Compliance Program and all Compliance policies and procedures.
  • Act as Business Manager to update Business Continuity Management related document, and review system/access related requests for Compliance Department.
Requirements include:
  • 5+ years of relevant Compliance systems related work experience.
  • Experience in compliance transaction monitoring systems
  • Actimize and/or FIS Prime experience preferred.
  • Have knowledge of data flows as it relates to Compliance systems.
  • Advanced Microsoft Excel, Microsoft Word, MS Project

Job Requirements

compliance, actimize,tprm,bsa,aml

Additional Information

Hybrid onsite 2 days per week in Midtown Manhattan

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