BSA/AML Compliance Monitoring And Testing – Associate

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

  • Supports Review Lead in compliance monitoring and testing engagements.
  • Assists in the development and refinement of monitoring and testing scripts.
  • Assists in the preparation of information requests and announcement memoranda.
  • Performs assigned fieldwork to check the efficacy of internal controls.
  • Prepares cohesive work papers for each engagement in accordance with department standards.
  • Identifies underlying issues and escalation / validation thereof with clients.
  • Assists in drafting issue memoranda and reports for issuance to management.
  • Assists in the registration and tracking of identified issues and corrective action plans to validate remediation efforts.
  • Stays abreast of changing regulatory requirements and SMBC’s business model to maintain a solid foundation of the applicable regulatory framework.
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