Industry: Bank/Finance
Location: New York, NY
Salary: $120K-$145K DOE
Visa Sponsor: No
Language: English: Business Level
Detail: Japanese major bank seeks a Corporate Compliance Analyst (REGULATORY COMPLIANCE)- NYC, New York.
This role is for Assistant Vice President level candidates.
Position: Corporate Compliance Analyst (REGULATORY COMPLIANCE)
Employment Type: Regular Full-Time
Location: New York, NY
Work Astringent: This role is located in New York City and will require a hybrid work schedule of at least 2 days in office per week.
Level: Assistant Vice President
Salary Range: $120,000.00 To $145,000.00 Annually DOE
Benefits: Health, Dental, Vision, PTO, 401(k), Profit Sharing, Life Insurance, Disability Insurance, Commuter Benefits, Tuition Assistance and others
About the Organization：
This position is with a large international financial institution operating a broad range of banking and financial services through a global network. The organization maintains a strong commitment to regulatory compliance, risk management, and corporate governance across its U.S. operations.
Department Overview：
The Regulatory Compliance Department (RCD) supports business and operational units by providing regulatory compliance guidance, monitoring, testing, and reporting activities designed to reduce regulatory risk. The department works closely with stakeholders throughout the organization to maintain compliance with applicable laws, regulations, supervisory expectations, and internal governance standards.
Management functions apply institutional knowledge to implement processes, procedures, and strategic initiatives that support the organization's objectives and regulatory obligations.
Role Overview：
The Corporate Compliance Analyst supports the Regulatory Compliance Department in maintaining and enhancing the Corporate Compliance framework. The role is responsible for monitoring regulatory developments, assessing compliance risks, conducting testing and reviews, supporting regulatory examinations, and helping ensure adherence to applicable federal and state banking laws, regulations, and supervisory guidance.
The ideal candidate possesses a strong understanding of the regulatory environment governing U.S. branches and agencies of foreign banking organizations, including requirements established by federal and state banking regulators and other applicable regulatory authorities.
The Corporate Compliance Analyst is responsible for identifying and developing criteria and commentary on critical compliance issues across the organization. The role assists with drafting and updating policies and procedures to ensure compliance with legal and regulatory requirements and supports the ongoing enhancement of governance programs while identifying risks and control gaps.
Duties and Responsibilities：
Regulatory Compliance Monitoring
● Monitor and analyze changes in federal and state banking laws, regulations, supervisory guidance, and enforcement actions.
● Assess the impact of regulatory changes on the organization and coordinate implementation efforts with business and control functions.
● Enhance and update the regulatory inventory and compliance obligations framework.
Corporate Compliance Risk Management
● Assist in the identification, assessment, monitoring, and reporting of compliance risks across business lines and operational functions.
● Lead the annual Corporate Compliance Risk Assessment process and support ongoing enhancements to the risk assessment methodology.
● Maintain and enhance the Corporate Compliance Testing Program.
● Conduct Corporate Compliance testing, provide recommendations related to identified issues, and track corrective action plans and remediation activities through completion.
● Maintain and enhance the Employee Personal Trading Monitoring Program (EPTMP).
● Maintain and enhance policies, procedures, and control frameworks related to Gifts and Entertainment.
● Prepare reporting for relevant governance committees and management bodies.
Policy and Procedure Governance
● Review and update Corporate Compliance policies, procedures, and controls to ensure alignment with regulatory requirements.
● Maintain policy governance documentation and attestation records.
Regulatory Examination and Audit Support
● Coordinate Corporate Compliance-related responses to regulatory examinations, inquiries, and information requests from regulatory authorities, internal audit, and external auditors.
● Assist in the preparation of regulatory examination materials and management responses.
● Track examination findings and remediation activities through completion.
General Affairs
● Update compliance-related logs and maintain compliance documentation.
● Assist with meeting coordination and minute-taking for compliance-related committees.
● Prepare and deliver organization-wide and targeted training on compliance-related topics.
● Prepare reports and presentations related to the Corporate Compliance Program.
Additional Responsibilities
● Perform and assist with other duties and responsibilities as assigned by management.
Qualifications (Requirements)
● Knowledge of regulations and supervisory expectations applicable to U.S. branches of foreign banking organizations, including but not limited to:
Foreign Corrupt Practices Act (FCPA) and other Anti-Bribery and Corruption (ABC) laws
Insider trading laws and regulations
Fraud-related laws and regulations
Legal Lending Limits
Anti-tying laws
Anti-boycott laws
Abandoned Property requirements
State banking regulations and regulatory guidance
● Knowledge of SEC laws, rules, and regulations preferred.
● Ability to assess laws, regulations, and supervisory guidance and translate them into practical business requirements.
● Ability to prepare professional reports and presentations for management and regulatory authorities.
● Bachelor’s degree or equivalent required.
● Minimum 4 years of Corporate Compliance experience within a financial institution, preferably within a U.S. branch or subsidiary of an international banking organization.
● Excellent analytical, investigative, and problem-solving skills.
● Excellent organizational, written, and verbal communication skills.
● Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint.
● Strong interpersonal skills and ability to work effectively with multiple stakeholders.
● Ability to manage multiple priorities and meet deadlines in a fast-paced environment.
● High level of integrity, professionalism, and attention to detail.
Visa Sponsorship: This position does not offer visa sponsorship.
