Vice President Of Legal And Business Compliance Jobs

Build new compliance processes, policies, and procedures and risk management programs, with an eye toward building digital-first, scalable solutions

Participate in and bring the Compliance perspective to critical situations, change management, and client/partner requests

Enterprise Risk Management, Business Continuity, Anti-Financial Crimes, and Privacy, as well as the Bank

The role is remote with travel as needed...relocation not required

You will be part of the executive leadership team offering you visibility, influence, and career growth options

Continually raise awareness of compliance, integrity, and risk issues. Review compliance related content to be included in employee training and education

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

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

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

Proposes process improvements and ensures reporting to senior management.

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

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

Liaise with internal/external auditors and Compliance management.

Develop Compliance policies to address regulatory requirements.

Advise on regulatory and Compliance topics.

Assess compliance risks and coordinate/execute compliance monitoring and testing.

Deliver uniform Compliance guidance on a variety of topics/risks including sales practices and licensing & registration.

Identify and investigate potential rule breaches, escalating issues and coordinating corrective actions with other control functions as needed.

Maintains knowledge of emerging industry trends in business operations management

Motivates and leads a high-performance management team

Ensures and manage effective communications to all stakeholders

Manages project timelines and proactively identify needs, constrained resources, conflicting priorities, and scheduling issues

At least ten (10) years of field service Industry experience required

Experience directly managing a team

5+ years of deposit and loan compliance experience with at least 3-5+ years of management experience.

Experience working in the banking industry

Bachelor's degree or advance degree preferred

Familiarity with Bank Secrecy Act (BSA)

VP of Compliance - GROWING Bank - Making a Difference in the World! - Great Culture

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3-6 years of Regulatory Compliance experience, within a policy, advisory, surveillance or monitoring/assurance context

Great knowledge of capital market products, especially Fixed Income and FX

Great knowledge of wholesale compliance regulations, including (but not limited to) Broker-Dealer, Swap-Dealer, FINRA and SEC

Ideally a JD or regulatory compliance qualification

The successful candidate will be awarded a competitive salary and generous benefits package.

New York, New York – Up to $170,000

Oversee Workers Comp and Healthcare benefits issues

Manage, and develop team to achieve strategic objectives

10 plus years corporate compliance experience with a focus on Human Resources and business compliance related issues

Strong knowledge of HR and employment laws/regulations

Oversee the company’s HR and Payroll plans

Reports directly to the COO and work hand in hand navigating the company’s compliance and regulatory challenges