Banking Financial Services jobs

The Quality Control Analyst role is responsible for end-to-end Quality Assurance (QA) review testing over the BSA/AML & Sanctions Program. Additional responsibilities include the remediation review & validation of issues deriving from regulatory, internal audit and self-assessment exams/reviews and the monitoring, tracking and (internal) reporting of compliance related issues.

• Respond to requests from regulatory agencies, auditors, and senior management regarding BSA/AML compliance matters.
• Participate in BSA/AML training programs for employees to ensure ongoing awareness of compliance requirements.
• Maintain accurate documentation for compliance reviews, investigations, and filings.

• Review of internal/external referrals received by SII Complex Investigations, which includes conducting historical transaction reviews.
• Review of returned payments with and without sanctions nexus to develop the typology, business requirement, and business case documents to support the continued development and enhancement of an automated tool to identify sanctions risk in returned payments.

The BSA/AML Compliance Analyst will be responsible for ensuring the organization's adherence to the BSA and AML regulations. This role involves conducting detailed reviews of customer accounts, transactions, and activities to identify potential suspicious behavior, as well as ensuring that the company's policies and procedures are aligned with regulatory requirements.

This contract position is starting off at 6 months and has the potential to be extended. This consultant will be responsible for identifying, reporting suspicious activity with high risk clients. From here, the consultant will prepare SAR's.

• Assist in implementing the Global Privacy and Data Protection Policy.
• Conduct privacy reviews and manage incidents and data subject access requests.
• Perform privacy impact assessments to ensure compliance with laws and internal standards.
• Monitor legislative developments and partner with oversight groups to enhance privacy controls.

The OFAC Sanctions Consultant will review internal/external referrals and conduct transaction reviews to identify potential sanctions risks, assist in developing typologies for an automated sanctions risk tool, and support post-hoc payment lookback reviews. The role requires strong sanctions knowledge, business writing expertise, and the ability to clearly articulate facts in recommendations, with 5+ years of experience and a CAMS certification preferred.

Our client is seeking a experienced OFAC Investigations professional to join their team.

Our client is seeking a experienced Sanctions professional to join their team.

Our Client is seeking an ambitious Corporate Paralegal coming from Law Firm or Financial Services Institution

The Senior Compliance Consultant role involves ensuring compliance with FINRA, SEC, and broker-dealer regulations by developing and implementing compliance policies, conducting audits, and overseeing risk assessments. Additionally, the position serves as a liaison with regulatory bodies and manages anti-money laundering (AML) and Know Your Customer (KYC) programs to mitigate compliance risks.

The Risk Assessment Consultant role involves supporting the Risk Assessment Officer in developing and executing compliance risk assessments across various areas, including BSA/AML, sanctions, and fraud. Key responsibilities include analyzing data, identifying risk factors, coordinating training, and drafting assessment reports while ensuring adherence to regulations and internal controls.

The Compliance Monitoring and Testing Specialist will conduct ongoing monitoring and testing to ensure compliance with regulatory requirements. This role requires a background in audit and risk management, focusing on corporate compliance, and involves developing reports on control deficiencies, tracking remediation objectives, and staying informed on federal and state compliance updates.

• Monitoring and ensuring compliance with U.S. sanctions regulations against specific countries, individuals, and entities.
• Conducting thorough investigations into suspicious activities and transactions to determine compliance with OFAC regulations.

The Compliance Associate will manage employee licensing, registrations, and onboarding processes, ensuring compliance with FINRA and other regulatory requirements, including U4/U5 filings. This public-facing role requires strong organizational skills, attention to detail, and the ability to multitask in a fast-paced environment.

Responsible for the direct oversight of Financial Reporting for US assets as well as the US Management Company, ensuring internal controls over financial transactions and financial reporting.

The BSA/AML Risk Assessment Consultant is responsible for assisting with the development, execution, and administration of Compliance Risk Assessments, including areas such as BSA/AML, OFAC, Corporate Compliance, Fraud, and Anti-Bribery and Corruption. This temporary position involves collaborating with various teams to identify risks, analyze data, and draft reports with recommendations.

• Managing correspondence, scheduling meetings, and organizing documents.
• Assisting clients with inquiries, providing information, and facilitating communication between departments.
• Maintaining and updating records, databases, and filing systems, ensuring accuracy and confidentiality.

The Sanctions QA Consultant will focus on delivering sanctions quality assurance by collaborating with stakeholders, testing, and reviewing sanctions-related operations, advisory functions, and investigations. The role requires expertise in sanctions compliance, audit practices, and maintaining documentation standards to ensure a strong sanctions compliance program.

The AML Transaction Monitoring Specialist will be responsible for monitoring and investigating customer transactions to identify potential money laundering activities and ensure regulatory compliance. This 6-month contract role, based on-site in Midtown New York City, requires strong AML experience, investigative skills, and proficiency with transaction monitoring systems.

The role involves leading risk assessment initiatives, managing communication with stakeholders, and ensuring effective control measures and reporting processes. Primarily focused on overseeing and enhancing the risk assessment processes related to BSA/AML and OFAC compliance within a bank.

This Candidate will provide quantitative and analytical support for all sell-side and buy-side acquisition assignments

This role involves supporting daily operations across various fixed income products, with a focus on trade processing, settlement, and reducing operational risks. The ideal candidate will have extensive experience in middle office functions, an understanding of trade life cycle management, and the ability to analyze and improve processes within a large asset management setting.

This role involves daily processing, tracking, and documentation of invoices and letters of credit, ensuring timely transaction entry and accurate record keeping across multiple systems. The position also requires regular coordination with internal teams for reconciliations and compliance, as well as support for clients on technical aspects of credit transactions.

This role involves handling the end to end loan operations process, including loan documentation review, booking, funding, and servicing payments. The successful candidate will manage collateral requirements, monitor loan compliance with regulatory standards, and provide exceptional support to its clients. Strong Attention to detail, the ability to work under tight deadlines, and experience in commercial loan processing are essential for this role.