Senior Compliance Officer

Who we are:

Our office is in a converted house near downtown New York City. Planning is done in RightCapital and portfolios are managed in Orion. Founded in 1993, we now have 34 employees. Dress is business casual, and suits come out for client meetings.

The Senior Compliance Officer monitors and tests compliance with banking regulations at a community bank with $2.5B in assets and 30 branches. On site, New York City.

In this role you will:

• Investigate customer complaints that raise compliance issues
• Test branch and lending processes against policy and regulation
• Report compliance metrics to the compliance committee and board
• Advise managers on regulatory questions in day-to-day operations
• Review suspicious activity alerts and prepare SAR filings within deadlines

Required qualifications:

• 5+ years of compliance, audit or risk experience in banking or financial services
• Experience with regulatory exams (FDIC, OCC, Federal Reserve or state regulators)
• Sound judgment and the confidence to escalate
• Familiar with AML monitoring systems such as Verafin or Abrigo
• Organized, with a careful approach to documentation

Nice to have:

• Excel or SQL for transaction analysis

What you get:

$131,000 to $159,000 a year

• Health insurance
• 401(k) with company match
• Paid time off

This position requires a background check.

Start: Flexible.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at EPG Asset Management LLC.