Compliance Monitoring And Testing – Analyst (Associate Level)

Full Time

Job Function:

Our client; a Global Bank is seeking Compliance Monitoring

and Testing Analysts. The Associate-level position is responsible for supporting the monitoring and testing program. This position will principally serve as a team member for the planning and executing of monitoring and testing engagements to validate the efficacy of regulatory compliance internal controls. This role will
have coverage for the Bank’s U.S. wholesale banking operations; representative offices in Central and South America; Caribean and certain nonbank finance subsidiaries/affiliate.
The candidate should have functional knowledge of applicable U.S. banking laws and regulations, including Bank Secrecy Act/Anti-Money Laundering (“BSA/AML”) and sanctions laws and regulations.

Additionally, a familiarity of the U.S. regulatory environment, risk identification / mitigation; and managing the workflows for monitoring and testing engagements is essential.


Supporting examiner-in-charge of 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 memorandums.
Performs assigned field work to validate the efficacy of internal controls.
Prepares cohesive work papers for each engagement in accordance with department
Identifies underlying issues and escalation / validation thereof with clients.
Drafts issue memorandums 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 Bank’s business model to maintain a solid foundation of the applicable regulatory framework.


Bachelor’s Degree required; Advanced Degree and/or Certifications is
At least 5 years of prior regulatory, compliance, audit and/or risk
management experience with demonstrated track record.
-Regular management experience with demonstrated track record of increasing management responsibilities.
Financial services experience and knowledge of wholesale banking
products as well as commercial leasing business, preferred.
Strong foundational knowledge of U.S. banking laws and regulations,
including BSA/AML and sanctions laws regulations.
Strong desire to continually deliver a quality and meaningful work product in a timely and efficient manner.
Demonstrates sound judgement, political astuteness, and sensitivity to
cultural diversity.
Strong interpersonal and communications skills to successfully interface with all levels of management and maintain solid working relationships.
Maintaining a regulatory compliance risk mindset to understand underlying risks and weaknesses to properly mitigate such risks.
Technical competency of applicable laws and regulations and application thereof during monitoring and testing engagements.
Strong analytical skills and attention to detail.
Ability to manage multiple assignments and re-prioritize as circumstances may dictate.

Upload your CV/resume or any other relevant file. Max. file size: 2 GB.

Share on