Serve as Managerial Head of Compliance Department for major securities LOB with a well-known global bank.

The position entails the development, implementation, and ongoing monitoring of a risk-based Compliance program.


  • Serve as Lead point of contact for and coordinate regulatory examinations, inquiries, controls implementation, and regulatory change management.
  • Optimize surveillance function to monitor business processes ensuring compliance with regulatory standards. Streamline compliance and risk controls to best support the department’s sales and trading operations within existing compliance framework.
  • Meet compliance and risk reporting requirements for both internal and external entities.
  • Design and execute compliance training program for business managers, compliance officers, internal auditors, legal and risk management associates.
  • Serve as Subject Matter Expert for external regulatory changes, as well as internal controls impacting the department business lines. Advise business managers on best executions under evolving regulatory environment.
  • Gain mastery of department’s institutional product lines and how the regulatory controls affect the bank’s product suite.


•12+ years of experience in compliance, audit, trading desk advisory or operational risk

  • Deep industry experience and familiarity with Institutional Capital Markets
  • 4+ years management experience of direct reports within a corporate hierarchy.
  • Strong familiarity with OCC, Federal Reserve Bank and Foreign Exchange industry regulations.
  • Superb communication skills as a manager and senior compliance officer.


Please contact James Defranco at 212-997-3163 for more information or send resume to  James@ComplianceSearch.com.


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