Senior Compliance Consultant

About NRI (Nomura Research Institute):

Founded in 1965, NRI is a leading global provider of system solutions and consulting services, including strategy, management consulting, system integration, and IT management and solutions for the manufacturing, financial, energy, infrastructure, healthcare and life science, retail and service industries. Clients from all layers of these individual industries partner with NRI to tap NRI’s research expertise and innovative solutions across the organization to expand businesses, design corporate structures and create new business strategies.

Job Role (Senior Compliance Consultant):

The Senior Compliance Consultant is responsible for assisting NRIA clients with various control matters that arise within financial crimes compliance programs. This ranges from performing operating tasks such as transaction monitoring and customer due diligence to performing comprehensive gap assessments, designing program frameworks, and managing remediation projects.

Essential Job Functions (may vary depending on NRIA client needs):

• Stays abreast of regulatory developments and internal compliance procedures, develop strategies and plans for implementation of new regulations, comply with evolving requirements, oversee the integration of new processes, and engage effectively with investment teams
• Performs end-to-end gap assessments of financial crimes compliance programs.
• Assists in developing controls and governance processes and ensuring employees fulfill their compliance obligations relating to these
• Identifies one or more frameworks for development and conducts periodic reviews to incorporate new findings, and updating of the policies, procedures and operating manuals
• Develops and implements additional value-added financial crimes risk management initiatives that support the company's overall risk management objectives
• Develops key deliverables, including process flows, work programs, reports, and control summaries
• Manages execution of policies & procedures related to financial crimes compliance controls such as transaction monitoring, sanctions screening, risk assessments, etc.
• Ensures compliance with applicable regulations
• Manages execution of reviewing and investigating daily transaction monitoring alerts for potential fraud and money laundering
• Assists during regulatory exams and internal audits by supplying information in a timely and accurate manner
• Liaises & communicates with external and internal partners, provide support and evidence as required, complete requests, & participate in meetings
• Addresses ad hoc projects and manage miscellaneous matters, including maintaining informational documents, tracking meetings and metrics, and creating/updating dashboard
• Acts as compliance related subject matter expert
• Other responsibilities and duties as assigned

Candidate Qualifications:

• Bachelor's Degree required, preferably in Finance, Business, Management, or other related fields
• CAMS certified, preferred
• 5+ years of compliance, risk, fraud prevention, within the banking services industry experience
• Working knowledge of US banking compliance requirements relating to domestic and international wires, ACH, SWIFT, debit and credit card, check payments, and other common treasury + payments services
• Experience in financial crime in either testing, advisory, audit or legal capacity
• In-depth knowledge of with financial crime (BSA, AML, OFAC, ABC etc.) laws and regulations and other pertinent regulatory guidance in order to assess financial crimes compliance programs and associated risks
• Experience filing SARs, CTRS, and OFAC reports electronically and/or conducting QA/QC on SARs
• Experience with program management skills with an ability to develop solutions to problems with ambiguous guidelines
• Adaptable to a fast-paced, dynamic environment and able to meet strict deliverable deadlines
• Advanced verbal and written communication skills, including documentation of findings and recommendations
• Outstanding presentation skills with the ability to interact and influence technical and non-technical groups including executives
• Ability to work with a diverse portfolio of clients and partners across e-commerce, tech, banking, and payments industries
• Capable of successfully handling multiple tasks and projects simultaneously; embraces growth mindset
• Supervisory experience of teams including junior and senior team members, and consultants
• Experience with drafting workflows, policies, and procedures