Sumitomo Mitsui Trust Bank Limited New York Branch ยท 2 weeks ago
Compliance Analyst
New York, NY
Full-time
Hybrid
New Grad, Entry Level
$70K/yr - $80K/yrSumitomo Mitsui Trust Bank Limited New York Branch is one of the largest asset managers in Asia, providing a broad spectrum of financial products. The Compliance Analyst will identify and develop compliance criteria, prepare training, draft policies, and conduct due diligence to ensure regulatory compliance across the bank.
Banking
Responsibilities
Clears Prime System generated BSA related alerts and documents rationales
Performs various watch list related verifications and record-keeping (OFAC/ FinCEN 314a/Japan List)
Performs BSA compliance Tests as well as Corporate Compliance Tests
Performs Customer/Account Profile reviews via Surety software
Reconciles Employee Personal Trading Monitoring Program related documents
Updates various compliance related logs and keeps track of compliance related documents
Arrange meetings, take minutes
Assists and prepares compliance testing work papers for all the tests performed
Participates in periodic compliance related committees. Take minutes
Assists with preparation of Fed/State pre-planning and introduction letter/first day letter materials
Maintains files on appropriate regulatory compliance related issues
Prepares Compliance newsletter to be sent within the department weekly and Branch wide Compliance newsletter to be sent within the Branch monthly
Prepares various monthly reports
Assists with the Annual Risk Assessment of BSA and Corporate Compliance
Ensures that ethical practices are effectively communicated to all employees throughout SMTBNY and promotes adherence to all ethical practices by all employees
Performs other duties and responsibilities as assigned by management
Qualification
Required
Bachelor's degree or equivalent
Excellent computer skills in Microsoft Office (Excel, Word, and PowerPoint)
Excellent interpersonal skills, good oral and written communication skills
Good detail orientation, organizational, and multitasking skills
Strong basic math skills required
Preferred
Proficiency in Excel, Access, VBA script, preferred
Benefits
Paid Time Off
Medical
HSA
Vision
Dental
FSA
401(k)
Profit sharing
Legal plan
Cancer indemnity plan
Disability insurance
Life insurance
Employee assistance program
Commuter benefits
Business travel accident
Paid volunteer day
Paid memberships
Paid seminars
Tuition assistance
Company
Sumitomo Mitsui Trust Bank Limited New York Branch
Sumitomo Mitsui Trust Bank, Limited (SuMi TRUST) is one of the largest asset managers in Asia.
Founded in 1925
201-500 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase