Compliance Specialist

Overview

• Contribute to compliance efforts in a dynamic, hybrid work environment within the financial services sector.
• Support regulatory exams through document preparation, response coordination, and monitoring activities.
• Collaborate with stakeholders to manage compliance projects and ensure timely deliverables.
• Prepare periodic reports for leadership and relevant forums, ensuring accuracy and clarity.
• Assist in monitoring and testing activities, including data collection and review processes.
• Support compliance governance and reporting through data assembly and presentation preparation.
• Utilize analytical and organizational skills to enhance compliance operations and project outcomes.
• Leverage proficiency in Excel, MS Office, and PowerPoint to streamline tasks and reporting.

Key Responsibilities & Duties

• Prepare responses and assemble documents for regulatory exams and requests.
• Monitor regulatory requests and ensure compliance during examinations.
• Coordinate and communicate project activities with stakeholders to meet compliance objectives.
• Deliver periodic project reports to leadership and compliance forums.
• Support data reconciliation and analysis for compliance systems monitoring.
• Assist in compliance testing activities, including data collection and documentation review.
• Prepare committee materials and presentations for compliance governance meetings.
• Compile and analyze key risk indicators (KRI) metrics for reporting purposes.

Job Requirements

• Bachelor’s Degree in a relevant field is required.
• 5-7 years of experience in financial services, compliance, or legal roles.
• Proficiency in Excel, MS Office, and PowerPoint for reporting and analysis.
• Strong research, writing, and analytical skills to support compliance activities.
• Excellent organizational and time management skills to handle multiple tasks effectively.
• Detail-oriented with a high level of attention to quality and accuracy.
• Ability to work collaboratively in a hybrid work environment.
• Experience in assembling and preparing compliance reports and presentations.