Compliance Analyst (Banking) monitors customer accounts and researches transactions to identify suspicious activity violating current anti-money laundering (AML) regulations defined in the US Bank Secrecy Act (BSA) or other governmental anti-terrorist financing programs. Uses customer data mining and software tools to identify suspicious activity patterns. Being a Compliance Analyst (Banking) reviews daily Currency Transaction Reports (CTR) and Questionable Activity Reports (QAR), and submits Suspicious Activity Reports (SAR) as appropriate. Ensures adherence to Know your Customer (KYC) protocols. Additionally, Compliance Analyst (Banking) may lead or participate in investigations of suspicious activity to pursue corrective actions and ensure completion of required filings. Keeps abreast with regulatory changes, risk management best practices, and trending methods used by fraud perpetrators. Delivers compliance training with up-to-date regulatory information and procedures to develop and guide a well-informed staff. Typically requires a bachelor's degree. May have the Certified Anti Money Laundering Specialist (CAMS) certification. Typically reports to a manager. The Compliance Analyst (Banking) work is closely managed. Works on projects/matters of limited complexity in a support role. To be a Compliance Analyst (Banking) typically requires 0-2 years of related experience. (Copyright 2024 Salary.com)
Work with auditors (internal and external), technical teams, business SMEs and internal compliance to provide supporting documentation for SOX, SOC and Archer controls for SAP.
Keep SAP auditor compliance to a bare minimum
Develop mitigating and compensating controls if deficiencies are found
Manage request in a timely manner
Complete SAP audit and compliance activity
Perform research and documentation for audit requests for SAP
Perform monthly, quarterly and yearly control responsibilities
Partner with 7-11 internal compliance team to understand how 7-11 does things
Be the face of compliance for SAP at 7-11
Strong background in auditing techniques, identifying risks associated with current technologies and the standards and controls to mitigate these risks, developing and executing test plans
Strong Knowledge and understanding of regulatory and control frameworks
Demonstrated ability to write audit reports and to participate in presentations
Advance Experience with GRC tools is preferred
Ability to read SQL, Java, and other computing languages is preferred
Knowledge of ServiceNow, SAP, Archer, Oracle EBS and JIRA/Confluence is preferred
Education: Bachelors/ 4yr degree
Years of Relevant Work Experience: 5 yrs
Years of Management Experience: NA
Certifications/ Licenses: CISA, CIA, and of CISSP certification preferred
Background in SAP as it relates to pulling audit evidence.
Experience in SNOW as it relates to pulling audit evidence.
Experience with large older SAP server farm.
Background in audit and compliance related activities.
Experience in SAP SOX and SOC audit control management.
Understand and work with teams to document monthly, quarterly , semi manually, annual and internal audit control.
Experience in documenting and managing deficiencies and their remediation.
Experience in Archer tool.
Provide management review of controls documentation.
Work with internal and external auditors satisfying varying requests.
Strong background in auditing techniques, identifying risks associated with current technologies and the standards and controls to mitigate these risks, developing and executing test plans
Strong Knowledge and understanding of regulatory and control frameworks
Demonstrated ability to write audit reports and to participate in presentations
Advance Experience with GRC tools is preferred
Ability to read SQL, Java, and other computing languages is preferred
Knowledge of ServiceNow, SAP, Archer, Oracle EBS and JIRA/Confluence is preferred
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