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Banking Compliance Officer
at The Compliance Search Group in New York, NY
A global financial services company seeks a compliance professional to join its team of compliance professionals charged with reviewing all US banking and broker-dealer activities.
Responsibilities:
The primary focus of this role is running a small team of inspectors charged with the responsibility of reviewing the Global Transactional Banking and related banking businesses. The Compliance professional leading this team will assist in the planning and performance of compliance inspections of offices, desks, areas and /or issues with a view towards assessing compliance with applicable laws, rules, policies and procedures.
He or she will lead the transactional banking surveillance effort, with a particular emphasis on regulation W, and will be responsible for escalating and following up on issues found. Communicating examination results, including preparing written examination reports and presenting identified issues; or providing feedback to Compliance advisory where there are outdated procedures or recurring issues are essential functions of this role.
The compliance professional will be expected to remain current on industry rules, regulations and best practices to help ensure that the examination and surveillance programs meet regulatory standards. They will make effective use of information systems. He or she will also coordinate with other professionals in the organization including the Compliance Advisory Teams, Regulatory Inquiry Staff, and Surveillance Analysts.
The ability and willingness to work on special projects and targeted reviews and to travel 10-15 days out of the year are useful for this position.
Requirements:
The ideal candidate for this position will have a minimum of 10 years relevant experience and a Bachelor’s Degree in Finance, MBA, or JD. Series 7 and Series 24 licenses are a plus. Candidates must be familiar with the current suite of banking regulations and have a sense of industry best practices. Experience at a government agency, or in a regulatory, compliance, or business capacity at a large bank will be helpful to those seeking this position.
A candidate with highly developed investigative skills, excellent communication skills, and strong work ethic, willingness to travel, and an aptitude for learning a variety of systems is ideal. Those with management experience will be considered more carefully.
Please send resumes or inquiries to Jack Kelly at jkelly@compliancesearch.com
Responsibilities:
The primary focus of this role is running a small team of inspectors charged with the responsibility of reviewing the Global Transactional Banking and related banking businesses. The Compliance professional leading this team will assist in the planning and performance of compliance inspections of offices, desks, areas and /or issues with a view towards assessing compliance with applicable laws, rules, policies and procedures.
He or she will lead the transactional banking surveillance effort, with a particular emphasis on regulation W, and will be responsible for escalating and following up on issues found. Communicating examination results, including preparing written examination reports and presenting identified issues; or providing feedback to Compliance advisory where there are outdated procedures or recurring issues are essential functions of this role.
The compliance professional will be expected to remain current on industry rules, regulations and best practices to help ensure that the examination and surveillance programs meet regulatory standards. They will make effective use of information systems. He or she will also coordinate with other professionals in the organization including the Compliance Advisory Teams, Regulatory Inquiry Staff, and Surveillance Analysts.
The ability and willingness to work on special projects and targeted reviews and to travel 10-15 days out of the year are useful for this position.
Requirements:
The ideal candidate for this position will have a minimum of 10 years relevant experience and a Bachelor’s Degree in Finance, MBA, or JD. Series 7 and Series 24 licenses are a plus. Candidates must be familiar with the current suite of banking regulations and have a sense of industry best practices. Experience at a government agency, or in a regulatory, compliance, or business capacity at a large bank will be helpful to those seeking this position.
A candidate with highly developed investigative skills, excellent communication skills, and strong work ethic, willingness to travel, and an aptitude for learning a variety of systems is ideal. Those with management experience will be considered more carefully.
Please send resumes or inquiries to Jack Kelly at jkelly@compliancesearch.com
Published at 13-04-2010
Viewed: 28 times
Viewed: 28 times