Compliance Officer

New York, NY

Job Function:


  •  Ensure compliance with both regulatory and Group requirements.
  • Conduct reviews of Branch activities including wire activity, trade finance/loans activity, travelers’ check processing and treasury activities and issue periodic reports.  
  • Plan and prepare OFAC, PEP, 314a and any other regulatory mandated reviews.
  • Prepare SARs after conducting thorough investigation.
  • Reviews business unit incidents and exceptions to assess compliance and/or reputational impact, which may include reviewing, advising and approving any required remedial action plans, and ensuring proper reporting, tracking and resolution of action plans that address compliance deficiencies
  • Balances the increasing demands placed upon the business by the introduction of new or revised regulatory requirements.
  • Perform other projects and duties as assigned/ as back-up from time to time by the Branch BSA/AML Compliance Officer
  • Participate in monthly compliance committee




  • Minimum of a Bachelor’s degree in business, related field or equivalent experience. Graduate level degree preferred.
  • CAMS certification required or readily obtainable.
  • 5+ years proven compliance, financial services operations and/or regulatory experience, or equivalent
  • Management experience preferred
  • Strong background in compliance within a financial services environment and be able to understand, interpret, and apply complex regulatory requirements to business practices
  • Well-developed communications, analytical, organizational, project management skills. Ability to meet deadlines. Proactive and independent.

Contact Details:

Steve Cebel