Compliance Analyst


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This position will be responsible for supporting and driving certain portions of the T&O SOX Audit. The role will be responsible for managing and supporting examinations (internal & external), and all stakeholders involved. The role will involve collection, review, and analysis of regulatory data and metrics, and remediation action plans. The incumbent will be expected to produce accurate and timely reports and PowerPoint presentations regarding all aspects of regulatory data.


• Manage examinations, audits and reviews on behalf of the T&O organization

• Management of all key stakeholders throughout each T&O SOX examination, audit and review; including the auditors/regulators

• Work with various stakeholders to evaluate action plans, and remediation actions

• Keep abreast of legal and regulatory matters affecting the US financial services industry, the regulatory environment, and potential impact on Groups US operating entities

• Implement standards and procedures to support the SOX Audit Management Program function. Maintain documentation and supporting work papers.

• Provide direct support for the SOX Audit Program Management Director’s current responsibilities, as directed

• Collaborate with various teams to identify, assess and validate various Operations risks and controls before, during and after examinations, audits and/or reviews

• Provide leadership to effectively lead and collaborate with various stakeholders

• Partner with Second Line of Defense to provide input/review of relevant frameworks, policies and standards.



• Bachelor's Degree; Accounting, Business, Statistics, Risk Management, Information Systems, Finance, Economics or equivalent field

• Ability to develop and maintain close working relationships with internal and external stakeholders

• Excellent oral and written communication and presentation skills

• Advanced PC (MSWord, Excel, Access, PowerPoint) skills

• Knowledge of applicable laws and regulations and financial services industry regulators

• Understanding of banking operations and the financial services regulatory and risk management environment

• Strong organizational skills, including ability to prioritize several projects at a time

• 3-5 years of risk management, audit, legal, regulatory and/or quantitative experience

• IT experience is preferred

• Audit experience is preferred

Must Haves:

- 3-5 years of experience

- Knowledge of financial institution operations

- Experience with SOX operations controls

- Financial and/or IT Audit experience

- Risk Management background

- Excellent communication skills

- Bilingual in Spanish/English