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International Banking Client

Compliance Monitoring & Testing – Capital Markets Associate

  • New York, NY
  • Full Time

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Office Status: Hybrid (2-3 days per week in office)

Salary: $135,000


  • 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 standards.
  • Identifies underlying issues and escalation / validation thereof with stakeholders.
  • Drafts Issue Memorandums and Reports for issuance to management.
  • Assists in the registration and tracking of identified issues and corrective action plans.
  • Participates in remediation of issues and findings identified during the Compliance Reviews.
  • Stays abreast of changing regulatory requirements and business model to maintain a solid foundation of the applicable regulatory framework.
  • Assists in the consolidation and reporting of results within local and Head Office reporting.