Senior Regulatory Compliance Analyst

Role Title: Senior Regulatory Compliance Analyst

Location: New York - Hybrid

Role Type: Full-Time/Perm

Salary: $72,000-$77,700

Role Summary

This is a great opportunity to join our fast-growing Consulting and Solutions Business working with some of the world’s leading financial institutions.

As a Senior Regulatory Compliance Analyst, the successful candidate will work directly with our client to manage a team of four compliance specialists and contracts, providing direction and managing stakeholder communications.

To know more about our Consulting services click here Consulting - Delta Capita.

Requirements

The Role and Responsibilities

• Manage a team of four compliance analysts.

• Ensure that the client and its employees conduct business in accordance with federal and state laws and rules, as well as regulations of the Securities and Exchange Commission, the Federal Reserve Bank, the Commodity Futures Trading Commission, FINRA, and other government agencies, self-regulatory organizations, internal policies and industry best practices.

• Serve as liaison between front office, the Know Your Customer (KYC) and Client Onboarding team.

• Initiate new client onboardings and product extensions.

• Manage the collection of documentation and act as the Subject Matter Expert for KYC Policy and Procedure.

• Act as a facilitator for front office new client onboards and product extensions – handling prioritization, ensuring account opening and trade dates are met, act as the standard checker for documents and requirement.

• Act as the blocker resolution go-to and escalation point for front office and KYC operations for the population and business covered.

• Provide regular updates surrounding key regulatory changes.

• Serve as key point for reporting and metrics, ensuring accuracy through reconciliations of various data sources/systems.

• Develop key operating documentation and training materials.

• Create and manage Management Information (MI) reporting and metrics to track progress for stakeholders.

• Regularly liaise with stakeholders to propose solutions and solve issues/queries.

• Regulatory compliance across the whole project lifecycle

• Cost transformation

• Legal Entity re-structure

• Operating model re-design and execution

• Operational resilience assessment and remediation

Skills and Experience

As an experienced Consultant, you will have:

·       Bachelor’s Degree (any field)

·       Minimum of 2 years’ experience working within financial services compliance

·       Strong understanding of Financial Regulations.

How We Work:

Delta Capita is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. If you require any reasonable adjustments through your interview process, please use the designated space within the application questionnaire.

This is a permanent full-time position located in New York. As the selection and interview process is ongoing, please submit your application in English as soon as possible, if your profile is selected, a member of our team will contact you within 4 weeks. For this role a valid working permit for the US is mandatory.

Who We Are:

Delta Capita Group (a member of the Prytek Group) is a global managed services, consulting and solutions provider with a unique combination of experience in Financial Services and technology innovation capability. Our mission is to reinvent the financial services value chain providing technology based mutualized services for financial institutions for non differentiating services.

Our 3 offerings are:

• Managed Services

• Consulting & Solutions

• Technology

To know more about Delta Capita and our