Title Compliance Officer VP/SVP
Salary $150,000 to $200,000 Package 
  • Major International bank seeks a talented Compliance Officer with a proven track record in legal and regulatory concepts within banking and broker/dealer environments.  Position reports into the Global Head of Compliance. 
  • Individual will provide expertise and functional support to help drive development, maintenance and full integration of compliance programs and supportive culture for all divisions and locations of the bank. 
  • The incumbent will be the main point of contact for all regulatory bodies located in this jurisdiction.  Individual will develop, implement, and monitor all aspects of the program to ensure full compliance with all legal and regulatory requirements.  Will be responsible for ensuring Conduct of Business rules are being followed. 
  • Liaise with Internal Audit in order to identify any issues and will ensure appropriate action plans are implemented to address such issues. 
  • A deep understanding and experience with banking and broker/dealer business practices. 
  • Knowledge of Banking regulations. Be thoroughly familiar with broker-dealer requirements. This includes all regulatory regulations, (e-g- UK FSA, USA NASD or Singapore MAS), and requirements pertinent to the countries. 
  • Ability to work with business and compliance leadership to develop, maintain and enhance compliance programs. 
  • Must be able to identify, assess and advise upon regulatory needs and risks relation to marketing, delivery and development of bank and broker-dealer related products. 
  • Provide prompt and appropriate guidance to business leaders with respect to issues including sales, marketing, product development and operations. 
  • The key point of contact for regulators and must be experienced in dealing and managing all regulatory bodies on an ongoing basis. Must be capable of ensuring open regulatory inquiries are dealt with in a prompt manner. 
  • The incumbent must develop and continually enhance working knowledge of company policy, applicable regulation as well as industry trends.
  • Should have an in-depth knowledge of anti-money laundering compliance requirements for  the business, including all aspects of terrorist financing; provide guidance on KYC and monitoring issues; implement required anti-terrorist measures; develop expertise in data protection / confidentiality issues and anti-corruption initiatives. 
  • Develop and maintain an in-depth, current understanding of Bank products and activities in respect to the applicability of legal / regulatory requirements.  Carry out investigations or  ad hoc reviews at the request of senior management.
  • Strong relationship and leadership skills, with proven ability to add new subject areas. 
  • Must be able to work in a global, matrix environment that spans multiple legal entities and teams. 
  • Must be a self-starter with good communication and relationship skills. 
Contact Ms. Helene Crocitto
Executive Vice President
Filcro Financial Staffing
521 Fifth Avenue
New York, NY  10175-1801

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Resume Fax 212.599.5050

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