Contract Compliance Generalist - New York


: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time


: Legal

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Job Description Contract Compliance Generalist Candidate MUST be local to NYC and ready to take an in person interview immediately. Compliance Associate's day to day responsibilities: Monitor and track Banking's compliance with policies and procedures Conduct testing of controls to determine effectiveness within the first line of defense, as well as to develop creative automated solutions to address testing needs and present information in a concise and comprehensive manner Draft and update policies and procedures, and prepare training materials Provide real time advice / guidance on policy, procedure and / or regulatory requirements to the business Review marketing materials prior to external distribution in order to determine compliance with policy, procedure and regulatory requirements Prepare monthly reports of compliance metrics to Banking senior management Fulfill role of Banking's key risk contact for certain key risk categories within the Operational Risk framework Assist with monthly key risk assessments as part of the overall Operational Risk framework within NAB Assist in responding to information requests from internal audit, internal testing teams, as well as external auditors Coordinate and document results of Reputational Risk Reviews within Banking Assist in the drafting and updating of policies and procedures Identify, analyze and escalate compliance and/or regulatory issues within NAB to determine their root cause and work with others to resolve the issues Assist with the implementation of changes to the Compliance Risk Management platform, as well as internal policies and procedures, to understand impact and ensure compliance review procedures are updated as appropriate. Stay current on regulatory changes Interact and maintain highly effective partnerships with line of business management and staff Skills 5 years of relevant work experience Series 7 and Series 24 required or the ability to obtain the Series 7 and 24 within the first 6 months of employment Broad working knowledge of laws and regulations related to areas of assignment Demonstrated ability to develop project plans and independently coordinate and complete projects in a timely manner Ability to analyze complex laws and regulations Efficient and Accurate record keeping Proficiency in Microsoft Office Suite and other utility applications (e.g., Adobe Acrobat, PowerPoint, and Excel) Education Bachelor's degree, JD preferred * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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