Compliance Director - Bank Regulatory Compliance - Compliance Search Group (New York, NY)
Compliance Director - Bank Regulatory Compliance
The Bank Regulatory Compliance Officer will be responsible for advising Fixed Income and Equities businesses on compliance with applicable federal and state banking laws, rules and regulations. The ideal candidate will manage compliance examinations by the Fed, New York State, FDIC, OCC and other bank regulators; train business personnel on bank regulatory requirements; respond to regulatory inquiries assisting in the development of appropriate surveillance to monitor for compliance with banking regulations. Additionally, the Compliance Director will draft and implement new policies and procedures, evaluating new products and services from a banking regulation perspective while working with other control groups such as Legal, Middle Office, Sales and Trading Management, Operations, Technology, Business Control Units, In-Business Risk and Market Surveillance, among others.
Candidate must have at least 5+ years experience in bank regulatory compliance with either a banking regulator, an investment bank, a law firm, or a consulting firm; a minimum of a bachelor's degree, although advanced degrees including an MBA, CFA or JD a plus; strong knowledge of bank regulatory rules and regulations relating to broker-dealer activities and familiarity with booking of various fixed income and equities products on bank-chain vehicles; ability to work closely with senior management in handling time sensitive deliverables; excellent oral and written communication skills; ability to articulate complex banking rules in written policies and procedures; qualified candidates must have the ability to think critically and be responsive to time-sensitive needs of the businesses requiring compliance guidance; candidates must work collaboratively with the businesses they support, providing compliance guidance and administering Compliance policies/procedures as needed in a timely manner.
To apply please submit your resume to Jack Kelly - JKelly ComplianceSearch.com
• Post ID: 36826234 newyork