Compliance Officer

New York, NY 10172

Posted: 06/17/2019 Employment Type: Direct Industry: Audit Manager Job Number: 3901198
The job is a position in the banking Compliance Department. The compliance officer is responsible for holistically managing the day-to-day activities prescribed by the annual compliance action plan and ancillary activities within U.S. Banking operations. Responsibilities: Oversees, and to a lesser extent, participates in, the execution of the annual compliance action plan and day-to-day responsibilities administered by the Compliance Department to ensure deliverables are satisfied accurately and timely Administration of periodic compliance risk assessments of applicable laws and regulations for the banking operations and leasing subsidiaries inclusive of: o Maintenance of the inventory of applicable laws and regulations; o Assessment of any modifications to business models that may impact the periodic compliance -risk assessments; o Analysis of compliance risk assessment results; ando Development of required annual compliance action plan Weekly reporting on the progress of the compliance action plan and initiatives Tracks compliance-related issues resulting from regulatory examinations, internal audits or compliance testing activities to ensure complete and timely remediation. Preparation of monthly and quarterly progress reports relating to those issues Assists the Local Compliance Officer in the preparation of the bi-monthly In-Office Compliance Committee agenda and reports Serves as the corporate compliance liaison during regulatory examinations and internal audits Oversees certain administrative functions such as (i) development and implementation of new policies and procedures (ii) tracking of regulatory pronouncements, assessment of applicability and integration thereof within the compliance framework (iii) compilation and analysis of compliance key risk indicators, among other things Performs ad-hoc special projects as assigned by the Chief Compliance Officer or Local Compliance Officer The role entails managing a small number of staff Qualifications: Minimum of eight years prior regulatory compliance, audit and/or operational risk management experience Familiarity with U.S. Banking laws and regulations Financial services experience and knowledge of wholesale banking products, preferred Experience with personal trading surveillance, preferred Strong internal control mindset with the ability to identify weaknesses and work collaboratively with stakeholders to remediate issues Good interpersonal skills and effectively work in a team environment or as an individual to meet objectives Strong leadership skills and the ability to effectively interface with internal clients High degree of attention to detail Strong analytical and decision-making skills Ability to manage varying tasks and quickly adapt and reprioritize as necessary Strong verbal and written communication skills Solid organizational skills

Michael Russo
Staffing Manager

Mike specializes in putting the right people in the right places as a Staffing Manager with our Direct Hire Division.  He enjoys working with candidates to find the right fit and working with clients to find the right people!  Mike enjoys golfing in his free time and binging Netflix shows.

Fun Fact:  Mike has played in an alumni softball game with Red Sox legends at Fenway Park and a charity hockey game with Bruins legends!

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