Corporate Compliance – Issue Tracking

Overview

Assist with enhancement of corporate compliance program – all compliance both related and not related to BSA/AML/OFAC. Issue tracking for both BSA and non- BSA items in the Corporate Compliance Department.  Ideally a contractor with experience in issue tracking and action management and strong knowledge of Excel.

Provide assessment and gap analysis of current compliance program and provide recommendations based on industry best practices

– Knowledgeable about current U.S. regulatory requirements

– 2+ years of relevant experience in compliance, legal or audit or operations

– Evaluate documents, data, procedures and systems for regulatory impacts

– Write policies and procedures and assist with implementation

– Assist with development of training plan

– Plus but not required: previous experience with foreign branch, wholesale banking

Some examples of relevant laws:

FATCA (Foreign Account Tax Compliance Act)

FCPA (Foreign Corrupt Practices Act)

Dodd Frank

Anti-Boycott Regulations

Anti-Bribery

Insider Trading & Securities Fraud

Personal Securities Transactions

Conflicts of Interests

Gifts

Job Order ID: 1262