Expanding banking consulting firm is currently searching for an Auditor with 5-10 years experience doing operational and financial audits in the Community Banking environment.  Applicant should live in Long Island. 

Sr. Level 110-120K

Job Description

Candidate will be responsible for transaction monitoring and surveillance at the Bank and Broker/Dealer. Research alerts and conduct thorough investigations and document results. Conduct regular surveillance activity as defined by Bank and Broker/Dealer policy and procedures. Work with internal systems to complete regulatory reporting (SARs) to FinCEN. Support Bank and Broker/Dealer department goals as defined.

Key Responsibilities
" Analyze transactions and transaction patterns related to Private Bank client activity to identify specific and anomalous activity for AML purposes
" Perform Due Diligence using proprietary, subscription and public databases, research entities related to the transactions
" Thoroughly and succinctly document the research and analysis related to the financial activity and related entities for an audience that includes Regulators, Internal Audit, Senior Managers and Internal Compliance
" Provide support to Bank and Broker/Dealer department responsibilities as defined.

Requirements
" Understanding of KYC as it relates to Private Banking
" Perform trade surveillance in order to identify potential anomalies (e.g. unsuitable trades, SEC Rule non-compliance, etc.)
" Broad knowledge of securities industry rules, regulations and broker/dealer functions.
" Familiarity with multiple business lines including fixed income sales, equities sales and trading, as well as investment banking and research
" Knowledge of AML/BSA/OFAC/SEC/FINRA rules, regulations
" Strong working knowledge of broker-dealer regulations
" Finance/Banking background
" Excellent judgment and assessment skills; pro-actively employs personal curiosity to identify and research transactions and transaction-related-parties using a risk based approach
" Meet or exceed quality, productivity and timeliness goals
" Excellent communication skills as evidenced by the ability to concisely and meaningfully explain and support research conclusions, both in written and verbal formats
" Excellent organization and prioritization skills; follows through to complete deliverables timely
" Excellent work ethic (respectful, honest, considerate, self motivated, can reliably work independently, works well under pressure, readily adapts to changing work priorities, is accountable)
" Proficient in MS excel (sort, pivot tables). Knowledge of MS Access is a plus
" Demonstrates initiative, creativity and teamwork within the framework of the position responsibilities
" Series 7 License or willingness to obtain the required licenses upon hiring
" Bi-lingual Portuguese (preferred) or Spanish