Senior Regulatory Compliance Officer

Compensation

: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time

Industry

: Legal



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Global bank is looking to bring on a senior level compliance officer to lead the regulatory compliance program for both the broker dealer arm, as well as the bank.? This role will act as the head of regulatory compliance for the Americas.


  • Will spearhead the effort to establish, impliment, maintain, and revise as necissary a complaince program and supervisory system.?
  • Provide regulatory advice in relation to FINRA and FED Banking regulations and its impact globally.
  • Establish and maintain an efective monitoring system to assure the firm is in compliance with external rules and regulations.
  • Work with the CCO to create and impliment internal policies and procedures for the broker dealer arm and bank.
  • Review new regulations and laws as they emerge to determine if they are applicable to the firms line of business, and educate staff on applicable regulations.
  • Conduict periodic risk assesments and desk reviews.
  • Draft and implement a system of enterprise-wide and desk-specific policies and procedures designed to ensure compliance with FINRA and banking regulations.
  • Will have a focus on cross border requirments under 15a-6, as well as AML related matters.?
PandoLogic. Keywords: Compliance Manager, Location: New York, NY - 10060
Associated topics: company, compliance office, corporate, corporate attorney, court, lawyer, legal affairs, legal department, llp, market * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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