VP Compliance
The ideal candidate will be able to maintain regulation updates and assess the impact on business and support managers in implementing changes to products, services, systems and operations to ensure and sustain the Reg. W Operating model.
The ideal candidate must be able to:
* Provide Regulation W subject-matter expertise to business lines in evaluating and assess potential covered transactions relating to Sections 23A or 23B
Monitor the development of the Dodd Frank Act pertaining to derivative, repurchase agreement and private equity/hedge fund classification
* Assist functions in assessing potential covered transactions relating to Sections 23A or 23B
Evaluate documents, data, procedures and system for regulatory impacts
*Provide support to assigned areas on Reg. W compliance-related issues
Provide material and support to Corporate Learning Development in the development and delivery of compliance training programs
* Ensure operational effectiveness and control
* Support all the business lines including but not limited to the reg W operating model, the banks global market banking, private banking, commercial banking, quality control, technology services and risk management.
Qualifications
*Minimum of five years proven experience in compliance, legal, audit, or equivalent role within Global Capital Market or Commercial Investment Banking industry
Proficiency in Regulation W for a large complex financial service organization is desired
* Bachelor’s degree in business, finance, related field or JD
* Product Knowledge of Equity or Fixed Income products, Securities lending or derivative/structured products
*Strong written communication, interpersonal, and project management skills
*Proficiency with Equity or Fixed Income systems is a plus
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