We only accept local candidates (Los Angeles, CA)
Job Title: Compliance Analyst
Job Experience Level: Junior (3-5 Years)
Work Location Expectations: Onsite - Los Angeles, CA
Term: 3 Months
Rate: $40
Description:
We are searching for a Regulatory Officer/associate level who will support regulatory examinations and/or advisory services. Responsibilities include but are not limited to:
Participating in all phases of the regulatory examination lifecycle such as responding to entry letters and information request; preparing responses; documentation and presentations; coordinating and documenting key meetings with stakeholders; and recordkeeping and reporting.
* Performing due diligence reviews to ensure the quality of the documentation before submission to the regulators.
Notifying senior management and other relevant personnel of upcoming examinations and advises on scope, focus and expectations. Coordinating routine continuous monitoring meetings with regulators and firm employees to ensure regulatory needs are addressed; documenting the content of meetings and timely communicating to senior management and relevant parties.
* Tracking the status of regulatory inquiries, exams, reviews and findings and circulates information in periodic status reports.
Maintaining regulatory communications, transmittal letters, management responses, and remediation actions.
* Escalating potential issues observed during or outside the exams and reviews to ensure proper resolution.
* Working closely with all Regulatory Relations team members and assisting with other Regulatory Relations functions as needed.
* Assist with West Coast Governance Committee meetings
Comments:
Multiple FRB, State regulators including but not limited to CDFPI, TX, NJ, NY. We will receive First Day Letter requests from examiners that may include CSI specific to the NY Branch.
Never miss an opportunity! Create an alert based on the job you applied for.
