Position Information

NY HELPNo

AgencyFinancial Services, Department of

TitleCompliance Specialist (Financial Services Specialist 1 (Compliance), SG-18)

Occupational CategoryFinancial, Accounting, Auditing

Salary Grade18

Bargaining UnitPS&T - Professional, Scientific, and Technical (PEF)

Salary RangeFrom $66951 to $85138 Annually

Employment Type Full-Time

Appointment Type Permanent

Jurisdictional Class Non-competitive Class

Travel Percentage 10%

Schedule

Workweek Mon-Fri

Hours Per Week 37.5

Workday

From 8 AM

To 6 PM

Flextime allowed? No

Mandatory overtime? No

Compressed workweek allowed? No

Telecommuting allowed? Yes

Location

County New York

Street Address One State Street

City New York

StateNY

Zip Code10004

Job Specifics

Duties Description The New York State Department of Financial Services seeks to build an equitable, transparent, and resilient financial system that benefits individuals and supports business. Through engagement, data-driven regulation and policy, and operational excellence, the Department and its employees are responsible for empowering consumers and protecting them from financial harm; ensuring the health of the entities we regulate; driving economic growth in New York through responsible innovation; and preserving the stability of the global financial system.

The Department of Financial Services is seeking candidates for the position of Compliance Specialist in the Consumer Examinations Unit within the Consumer Protection and Financial Enforcement Division. Duties include, but are not limited to, the following:

• Assists Senior Specialists with statistical analysis in support of consumer focused exams;
• Supports the verification process of loan data in analyzing institution’s consumer compliance (CC), fair lending (FL) and Community Reinvestment Act (CRA) lending activities;
• Assists in the coordination of examinations;
• Reviews fair lending plans of institutions requested by Licensed Financial Services (LFS) and DFS business units;
• May run call reports for exams;
• Assists in analyzing exam findings to determine whether patterns of discriminatory practices exist;
• Tests the accuracy, integrity and consistency of data received from institutions; and
• Other duties, as assigned.
• Travel may be required up to 10%.

Minimum Qualifications Preferred Qualifications
• Knowledge of Consumer Compliance, Fair Lending and Consumer Reinvestment Act regulations and examination requirements.
• Experience with MS Access and MS Excel.
• Experience in data/statistical analyses
• Strong qualitative, analytical and communication skills with a focus on writing concisely.

Appointment method:

Candidates must meet the minimum qualifications listed below in order to be eligible for appointment.

Non-Competitive: A Bachelor’s Degree in Accounting, Actuarial Science, Auditing, Business, Business Administration, Business and Technology, Commerce, Consumer Sciences, Computer Science, Criminal Justice, Economics, Econometrics, Finance, Information Systems, Information System Engineering, Internal Controls, Health, Health Administration, Law, Mathematics, Public Administration, Public Affairs, Public Health, or Public Policy and two (2) years of specialized experience in one of the following:

• Evaluating the adequacy of board and management oversight of the financial institutions' compliance programs.
• Reviewing lending, deposit, insurance and other transactions to determine compliance with Financial Service’s applicable laws/regulations.
• Identifying financial institutions' potentially unfair, deceptive, abusive or discriminatory acts or practices.
• Reviewing financial institution programs, policies and procedures for compliance with legal and regulatory requirements.
• Evaluating financial costs for the failure of financial services entities to adhere or comply with New York State, federal, or other states financial services laws.

A Master’s Degree in one (1) of the related fields or a J.D. may substitute for one (1) year of specialized experience. A Ph.D. in one (1) of the related fields may substitute for two (2) years of specialized experience.

Additional Comments Please note that a change in negotiating unit may affect your salary, insurance and other benefits.

Salary: The starting salary for this position is $66,951 with periodic increases up to $85,138.

Positions located within the New York City metropolitan area, as well as Suffolk, Nassau, Rockland, and Westchester Counties, are also eligible to receive an additional $4000 annual downstate adjustment.

Appointment Status: Permanent

Some positions may require additional credentials or a background check to verify your identity.

How to Apply

Name Brian Tighe

Telephone

Fax (518) 402-5071

Email Address NCE.Notifications@dfs.ny.gov

Address

Street One Commerce Plaza

Suite 301

City Albany

State NY

Zip Code 12257

 

Notes on ApplyingTo Apply: Interested qualified candidates must submit a resume and letter of interest no later than July 23, 2025 to the email address listed below. Please include the Box # (Box CS-FSS1-10394) in the subject line of your email to ensure receipt of your application. Email submissions are preferred.

Please be advised that the New York State Department of Financial Services does not offer sponsorship for employment visas

Brian Tighe
Box CS-FSS1-10394
New York State Department of Financial Services
Office of Human Resources Management
One Commerce Plaza, Suite 301
Albany, NY 12257
Email: NCE.Notifications@dfs.ny.gov
Fax: (518) 402-5071

All candidates that apply may not be scheduled for an interview.


Public Service Loan Forgiveness
Employment with New York State qualifies an individual for Public Service Loan Forgiveness (PSLF). This program forgives the remaining balance on any Direct Student Loans after you have made 120 qualifying monthly payments while working full-time for a U.S. federal, state, local, or tribal government or not-for-profit organization. To learn more about the program and whether you would qualify, please visit: https://studentaid.gov/manage-loans/forgiveness-cancellation/public-service


AMERICANS WITH DISABILITIES ACT: REASONABLE ACCOMMODATIONS
Under the Americans with Disabilities Act (ADA), the Department of Financial Services is required to provide reasonable accommodation for known physical or mental limitations of an otherwise qualified applicant with a disability if an accommodation would enable the applicant to perform the essential functions of the job. If the accommodation would constitute an undue hardship on the operations of the agency, the agency is not required to provide it.

All people with disabilities are encouraged to apply to all jobs for which they meet the minimum qualifications.