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BBVA Compliance Testing Officer in NEW YORK, New York




Deadline for applying:



USA - Compass Bank dba BBVA Compass



Grade range:

Salary Range:

0.00 - 0.00

Incentive Eligible:

Incentive or Bonus Eligible

What does the job entail?

Performs reviews of corporate/business unit policies, procedures, controls, and performance to ensure compliance with corporate policy and external regulations for assigned area and works to identify, resolve and prevent issues. Provides regulatory interpretations and guidance to assigned area. May provide guidance and work direction to other Compliance positions.


Liaison with the corporate audit division and external agencies/auditors as needed to resolve issues.

Reviews account activity and customer statements to detect compliance problems, such as unsuitable transactions. Reports results to management and recommends corrective action; conducts follow-up.

Monitors and updates action plans; follows up with responsible parties to ensure tasks are completed when due.

Generates reports and spreadsheets as needed for federal regulators from area information per required schedule.

Provides scheduling, tracking, reporting and/or database support to programs.


Bachelor's Degree (BA, BS, etc.) in a related field required with Eight (8) years of compliance related experience. Work experience may substitute for education requirement.


Required: None required

Preferred: None preferred

Note: This job has multiple levels (i.e. I, II, III, etc.). The posted job description includes the qualifications associated with the entry level position. If hired, you may be placed at a level above the entry level position. The level of placement will be based on experience, education and skills.

Additional Minimum and Preferred Qualifications

• Compliance Testing & Issue Management will need to prepare and execute on the Risk Based Test program.

• Áreas under scope for the Testing team will be BSA/AML, S&D, Corporate and Integrity, Data Protection, Control Room, Customer and Vendor Risk Management.

• In addition, the job holder will also be responsible for “Issue Management” - the validation of all corrective action plans identified by Testing.

Position Requirements:

• Bachelor’s degree in related field or equivalent relevant experience.

• Minimum 5 years of banking Compliance Testing, Internal or External Audit, including issue validation. Series 24 qualified preferable.

• High level of understanding of the regulatory environment particularly in financial markets & securities regulation and rules e.g Dodd Frank.

• Good knowledge of banking operations and federally recognized exam procedures to evaluate compliance to these.

• Extensive experience of reviewing some or all of: Securities & Derivatives (primary), BSA, Corporate, Integrity, Data Protection, Control Room, Customer and Vendor Risk Management.

• Experience of performing audit type reviews independently from the planning to reporting stages.

Note: Required to meet credit history and criminal background requirements associated with Nationwide Mortgage Licensing System and Registry registration process, to include FBI fingerprint criminal history report and review of credit report

Note: Must meet credit history and criminal background requirements associated with Financial Industry Regulatory Authority registration process, to include FBI fingerprint criminal history, review of credit report, civil litigation, liens, and other public records

Benefits Statement

Benefits: A variety of health and welfare and other benefit programs are available, including medical, dental, vision, Wellness Program, Personal Savings Plan (401K), Health Savings Account, Flexible Spending Account, accident benefits, critical illness, hospital indemnity, life insurance, disability benefits, paid vacation & holidays, paid leave programs, tuition assistance programs, pet insurance and more.

Legal requirements

Pay Transparency Policy Statement

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information (41 C.F.R. 60-1.35 (c)).

Individuals with Disabilities

BBVA Compass, BBVA Securities Inc., and BBVA S.A. New York Branch invite all interested and qualified applicants to apply for employment opportunities. If you are a U.S.-based job seeker with a disability who is unable to use our online tools to search and apply for jobs, please contact us by by calling toll-free (in the U.S.) 1-844-664-9275. Please indicate the specific type of assistance needed*.

*The disability access telephone line and email address are reserved solely for job seekers with disabilities requesting accessibility assistance or an accommodation. Please do not call about the status of your job application if you do not require accessibility assistance or an accommodation. Messages left for other purposes, such as following up on an application or non-disability related or technical issues, will not receive a response.

EEO Statement

BBVA Compass, BBVA Securities Inc., and BBVA S.A. New York Branch have a firm and unwavering policy to provide equal employment opportunity without regard to age, citizenship, color, disability, ethnic origin, gender, gender identity and expression, marital status, nationality, national origin, race, religion, sexual orientation, genetic predisposition, protected veteran status, or any other status or classification protected by federal, state or local law. This policy includes all job groups, classifications and organizational units. With regard to employment, this policy extends to applicants and covers our recruiting, hiring, promotion, transfer, demotion, discipline, termination, benefits, compensation and training practices as well as social and recreational activities.

View the "EEO is the Law ( " & "View the EEO is the Law Supplement Poster ( " poster. BBVA Compass, BBVA Securities, Inc., and BBVA NY are equal opportunity and affirmative action employer.

Working at BBVA

BBVA is a global company with over 160 years of history present in 30 countries with over 79 million customers. We are more than 125,000 professionals working in multidisciplinary and diverse teams.

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