||Compliance Officer – VP/SVP
||$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.
Executive Vice President
Filcro Financial Staffing
521 Fifth Avenue
New York, NY 10175-1801
Resume Fax 212.599.5050