Compliance Analyst

Job ID: 8647

Business Unit: MTA Headquarters

Location: New York, NY, United States

Regular/Temporary: Regular

Department: Corporate Compliance

Date Posted: Aug 29, 2024

Description

JOB TITLE: Compliance Analyst

SALARY RANGE: $68,000 - $80,000

HAY POINTS: 342

DEPT/DIV: MTA Corporate Compliance

SUPERVISOR: Deputy Chief Ethics & Compliance Officer

LOCATION: 2 Broadway

HOURS OF WORK: 9:00 am - 5:30 pm (7 1/2 hours/day)

This position is eligible for telework which is currently one day per week. New hires are eligible to apply 30 days after their effective date of hire.

SUMMARY:

Compliance Analyst will conduct research, prepare reports, and render assistance to the Deputy Chief Compliance Officer ("DCCO") and other Corporate Compliance staff members. This position requires entry professional research / support for the MTA Corporate Compliance Department in a wide range of research, data collection, data entry and case management activities. The Analyst will prepare compliance data by compiling and analyzing internal and external information. This position supports MTA's departments by collecting and coordinating internal compliance data with Corporate Compliance staff and various other departments. Administrative support must be provided by implementing systems, procedures, and policies, completing projects in support of Corporate Compliance staff. Position supports Corporate Compliance by assisting MTA Employees with simple Ethics and compliance issues by answering questions and responding to non-critical requests from the Ethics helpline.

The Compliance Analyst assists with the implementation and coordination of the Internal Control Program at the MTA with assistance from the Risk Managers embedded in the MTA's Agencies. This position is necessary to keep the program ongoing by assisting with conducting periodic reviews and self-assessments of the MTA's functions and processes used to assure that objectives are achieved.

Compliance Analysts must have an in-depth understanding of the business goals, department risks and controls and gather the required information for the Internal Control program.

RESPONSIBILITIES:

• Conduct independent research at the direction of Corporate Compliance staff related to due diligence reviews and investigations. The nature of the research will vary based upon the issues, but must include web-based research, interview content from internal and external sources, and surveys; and
• Prepare and disseminate reports detailing the results of that research.
• Obtain data on business activities, Meet with departmental management to gather input on the risks and controls related to business activities;
• Document control reviews, procedures, policies, and standards of operation for key business activities;
• Identify, review, and testing controls used to manage risk;
• Monitor remediation plans as applicable;
• Disseminate appropriate internal controls information to employees, including relevant departmental procedures;
• Manage departmental policy and procedure reviews; and
• Track implementation of audit recommendations.
• Answer the Ethics Helpline and aid employees seeking ethics advice or guidance on basic matters;
• Manage the intake of due diligence reviews and investigation ensuring that employee concerns and questions are referred to the appropriate Compliance staff;
• Will develop and maintain clear, accurate records of all Compliance Department investigations and reviews. Assists compliance staff with updating and monitoring all Due Diligence Reviews and investigations. These records are important and must be maintained in case of external inquiry or investigation;
• Ensure staff assigned to conduct investigations or reviews are advised of department deadlines and other time constraints. Failure to respond in a timely manner can cause an employee or vendor to unintentionally violate MTA All Agency Code Ethics or other policies;
• Maintain lists of active matters to ensure that employee whistleblower complaints are properly categorized and recorded;
• Prepare case status reports and conducts analysis of the compliance program;
• Examine compliance-related issues, conduct interviews, review documents, and meet with management, as necessary or required;
• Maintain confidentiality on all necessary matters and exercise a high degree of tact and sensitivity and
• Maintain communications related to ongoing matters with, the MTA Inspector General on investigations and several compliance related matters.
• Review and analyze basic inquiries submitted to the Ethics/Compliance Helpline; and
• Meet with, address, and resolve basic issues for "walk in" employees who need or wish immediate attention.
• Assist in the review, updating and development of an on-going schedule of review for all MTA policies for relevance based upon the policy lifecycle; and
• Work with policy-owners to ensure policies are accurate, and properly communicated to employees.
• Assist with the development and marketing of an effective ongoing communication program on ethics, and matters related to employees the written and video methods; and
• Assisting with live and virtual compliance-based trainings.
• Special assignments covering a variety of topics as assigned;
• Work outside of normal work hours (i.e. evenings and weekends) maybe required;
• Travel may be required to other MTA locations or other external sites; and
• Participate in strategic, metropolitan, suburban and enterprise operations, as necessary.

KNOWLEDGE, SKILLS, AND ABILITIES:

• Experience dealing with highly confidential information.
• Must possess excellent grammar, editing, oral communication, and writing skills.
• Demonstrates the ability to work with all - levels of management within the MTA.
• Demonstrates the ability to communicate and interact well with external agencies. External agencies may include the Governor's Office for New York State, New York City government, elected and other public officials, as well as any staff located at other federal or state agencies or authorities.
• Demonstrates the ability to complete short- and long-term projects effectively and as efficiently as possible.
• Knowledge of MTA policies and procedures.
• Must be able to work with confidential information and issues.
• Strong interpersonal are essential.
• Ability to identify issues and provide rational recommendations.
• Must be willing to travel to various locations to gather information.
• Detailed knowledge of Corporate Compliance programs, corporate governance practices and ethics programs preferred.
• Demonstrate analytical capabilities and quantitative skills.
• Proficiency in Microsoft Office Suite or comparable applications, i.e., Word, Excel, PowerPoint, and Outlook.

EDUCATION AND EXPERIENCE: REQUIRED

• Bachelor's Degree in Business, Transportation, Public Policy or a related field from an accredited college. An equivalent combination of education and experience may be considered in lieu of a degree.
• A minimum of 3 years' experience in Compliance, Audit, Legal, Human Resources, Organizational Development, Training or a related field , including at least 1 year in a large, multi-faceted, fast-paced organization or governmental body preferred.
• Must have strong knowledge of corporate policies and procedures.

PREFERRED:

• Extensive knowledge of MTA operations and business activities.
• Detailed knowledge of Corporate Compliance programs especially internal control standards, corporate governance practices and ethics programs.
• Budget responsibility in prior experience preferred.
• Managerial skills

OTHER INFORMATION:

Pursuant to the New York State Public Officers Law & the MTA Code of Ethics, all employees who hold a policymaking position must file an Annual Statement of Financial Disclosure (FDS) with the NYS Commission on Ethics and Lobbying in Government (the "Commission")

Equal Employment Opportunity

MTA and its subsidiary and affiliated agencies are Equal Opportunity Employers, including with respect to veteran status and individuals with disabilities.

The MTA encourages qualified applicants from diverse backgrounds, experiences, and abilities, including military service members, to apply.