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VP, Compliance Counsel

2 months ago

New York, United Kingdom Page Executive Full time

  • Banking client seeking Compliance Counsel to report to CCO
  • 5 day a week in person role in Midtown Manhattan

    About Our Client

    Banking institution.

    Job Description

    The Counsel will join a dynamic Compliance and Legal team, reporting directly to the COO.

    Main Responsibilities:

  • Serve as the point person for corporate compliance matters, advising internal stakeholders on corporate compliance risk assessment, new product approval processes, compliance monitoring and testing, compliance training
Spearhead the regulatory change management processAdvise on conduct risk, review outside business activity requests advising on conflicts of interest, conducting internal investigations and reviews when requiredManage the firm's corporate compliance program, implementing policies and procedures concerning: anti-bribery, anti-corruption, conflicts of interest, customer interaction, insider and affiliate transactions, personal trading, insider information, outside business activity and gifts and entertainment Advise on a wide range of regulatory matters including regulatory rules and special projects, while managing all examinations while working with regulatory agenciesRespond to regulatory requests for information

The Successful Applicant

JD from top US Law School Admitted to NY State Bar4-6 years of experience working at a law firm, in-house at financial services institution, and/or regulatory agencyMust have experience with corporate complianceExperience advising on financial services compliance and regulationsExperience writing policies and procedures surrounding compliance matters Experience in counseling/advising business teams

What's on Offer

Competitive base salaryBonus