Vice President, Compliance Jobs

Vice President – Compliance

Role Focus and Responsibilities:

Primary focus on compliance management of the Firm’s Security-based Swap Dealer (SBSD) and Regulation SBSR reporting.

Provides support to Swap Dealer, Volcker, Qualified Financial Contract, and other programs.

Offers interpretive guidance, advice, and support to various stakeholders for compliance program implementation and maintenance.

Requires deep expertise in Security-based Swaps, U.S. broker-dealer regulations, and regulatory analysis.

Expertise and Requirements:

Should have experience in developing and implementing compliance program requirements within a Bank Holding Company setting.

Familiarity with complex and international business lines and cross-border requirements.

Responsible for building strong relationships with internal clients to identify and analyze complex regulatory requirements.

Key Responsibilities:

Offers real-time interpretive guidance on regulatory requirements and best practices to stakeholders.

Participates in business impact assessments and implements compliance programs.

Drafts compliance manuals, policies, procedures, interpretive memoranda, and communications.

Evaluates regulatory changes' impact, advises stakeholders, and helps develop new approaches or programs.

Additional Responsibilities:

Develops and delivers regulatory compliance training.

Coordinates with US Compliance colleagues for cross-support.

Assists in implementing supervisory control mechanisms and supports business inquiries.

Participates in internal investigations, regulatory inquiries, audits, and compliance risk assessments.

Proposes process improvements and ensures reporting to senior management.

Reporting Structure:

Reports to the Head of Regulatory Operations, Swap Dealer, and Volcker Compliance.

Core Competencies:

Regulatory analysis, compliance program development, industry trend analysis, communication drafting.

Supervisory control implementation, internal investigation participation, audit coordination.

Stakeholder relationship building, training delivery, process improvement, reporting to senior management.