You will support compliance oversight of the company’s infrastructure divisions and will lead the implementation of cross-divisional compliance programs. In particular, you will partner with finance, operations, and business stakeholders on end-to-end controls relating to topics such as bank regulatory reporting, deposits, lending, and related requirements. This position requires significant interaction with senior managers in the US region, including preparing and delivering updates to key US legal entity councils or management committees. You will have an understanding of investment banks, including the relevant current and proposed industry and regulatory developments. You will also assist New York staff with compliance projects and ad-hoc requests to further strengthen the company’s compliance.

What We Offer:

• We offer competitive health and wellness benefits, empowering you to value life in and out of the office
• Active engagement with the local community through the company’s specialized employee groups
• An environment that encourages networking and collaboration across functions and businesses

Key Responsibilities:

• Lead designated enterprise-level compliance programs such as or similar to anti-tying, consumer compliance, customer complaints, Regulation R, and bank office licensing; supervise and manage one or more compliance professionals who support the implementation of designated compliance programs.
• Provide senior management support to the US business and infrastructure units and non-bank compliance officers impacted by such compliance programs, by providing advice and guidance on regulatory and policy matters.
• Identify regulatory trends and developments, advise staff as to how this may impact their current activities, and work with supervisors to implement any required changes to current policy/practice.
• Participate in internal and external investigations, assisting in response to regulatory inquiries, and coordinate internal and external audits and inspections.
• Prepare and deliver compliance reports for compliance management, senior management, executive committees, and risk committees as required.
• Lead the establishment and enhancement of appropriate control frameworks to address regulatory risks; develop and enhance compliance policies and procedures and coordinate with global colleagues in developing global standards. Support periodic risk assessments of regulatory risks and support periodic compliance testing and provide regulatory/compliance training as needed.

Skills and Experience:

• Required background: compliance, governance, policies and procedures, risk assessment, testing.
• University degree required, preferably in Finance, Business or Accounting; JD preferred.
• Relevant compliance experience, preferably at a major national or global securities firm or regulator; relevant business experience in working in investment banking or broker-dealer is preferred.
• Experience working in compliance or similar financial services, risk management function is a strong plus.
• Securities licenses are preferred but not required.
• Ability to work independently with a minimum of supervision.