Audit Compliance Lead - PV w2
Posted 1 day ago by Tek Inspirations LLC
Negotiable
Undetermined
Remote
Remote
Summary: The Audit Compliance Lead is responsible for managing approvals related to transactions with affiliates, requiring specialized knowledge of Regulation W and TWA operating policies. This role involves monitoring requests, assisting with documentation, and preparing reports to ensure compliance. The position is remote and is expected to last for over 12 months. The candidate should have significant experience in regulatory reporting and compliance.
Key Responsibilities:
- Monitoring team mailbox for new TWA consults and transactions and providing preliminary responses and next steps
- Assisting business and functional representatives with preparing standardized documentation for transactions requiring review in compliance with TWA Operating Policy
- Data collection and preparation of quantitative limits monitoring
- Preparation of monthly Key Performance Indicator reporting
- Preparing agenda, meeting notes, and administrative documentation for TWA review group transaction approvals
- Update and review of current TWA Finance procedure documentations to align to current TWA Operating Policy
- Special projects as assigned (may include process improvement, supporting new business and strategic initiatives, etc.)
Key Skills:
- 8+ years of experience
- Experience with Regulation W
- Experience in Regulatory Reporting and Compliance
- Bachelor's Degree in Accounting, Finance preferred
Salary (Rate): £38.00 hourly
City: undetermined
Country: undetermined
Working Arrangements: remote
IR35 Status: undetermined
Seniority Level: undetermined
Industry: Other
Job Description -
Audit Compliance Lead
Location: Remote
Duration: 12+ Months
"Description:
TWA Finance Analyst Associate is responsible for receiving, evaluating, and documenting approvals related to transactions with affiliates between SBNA and affiliated entities. The resource requires specialized knowledge of Regulation W and TWA operating policy and procedures. Job responsibilities include responding to requests relating to TWA Finance and Regulation W, providing guidance to the business on operating policy and procedures.
Responsibilities would include, but not be limited to:
Monitoring team mailbox for new TWA consults and transactions and providing preliminary responses and next steps
Assisting business and functional representatives with preparing standardized documentation for transactions requiring review in compliance with TWA Operating Policy
Data collection and preparation of quantitative limits monitoring
Preparation of monthly Key Performance Indicator reporting
Preparing agenda, meeting notes, and administrative documentation for TWA review group transaction approvals
Update and review of current TWA Finance procedure documentations to align to current TWA Operating Policy
Special projects as assigned (may include process improvement, supporting new business and strategic initiatives, etc.)
Core Requirements:
8+ years of experience
Experience with Regulation W
Experience in Regulatory Reporting and Compliance
Bachelor s Degree in Accounting, Finance preferred