Financial Services Specialist 1 Compliance

"Are you a detail-oriented individual with a passion for ensuring compliance within the financial services industry? Do you have a strong understanding of state regulations and a keen eye for identifying potential risks? If so, the State of New York is seeking a Financial Services Specialist 1 Compliance to join our team. As a Compliance Specialist, you will play a crucial role in safeguarding the integrity of the financial services sector, while also helping to protect consumers. With your expertise and dedication, you will help us uphold the highest standards of compliance and ensure the continued success of our state's financial services industry. If you are ready for a challenging and rewarding career, we encourage you to apply for this opportunity today."

Conduct thorough and ongoing reviews of financial services companies to ensure compliance with state regulations and laws.
Identify potential risks and areas of non-compliance and make recommendations for corrective action.
Monitor changes in state regulations and industry standards to ensure compliance procedures are up-to-date.
Collaborate with other departments and agencies to develop and implement compliance strategies and best practices.
Conduct investigations and audits of financial services companies as needed.
Review and analyze data and reports to identify trends and potential compliance issues.
Provide guidance and training to financial services companies on compliance requirements.
Maintain accurate and detailed records of compliance activities and findings.
Communicate with stakeholders and respond to inquiries regarding compliance matters.
Stay informed about developments and changes in the financial services industry and share knowledge with team members.
Participate in the development and implementation of policies and procedures related to compliance.
Assist in the preparation and submission of reports to regulatory agencies.
Conduct risk assessments and develop risk management strategies.
Serve as a subject matter expert on state regulations and compliance requirements.
Uphold the highest ethical standards and maintain confidentiality of sensitive information.

State of New York is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We do not discriminate based upon race, religion, color, national origin, sex, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.