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.