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Financial Services Client

Associate Director, Bank Regulatory Compliance – U.S. Cash Management, Capital Markets

  • Jersey City, NJ
  • Full Time

Apply for the Associate Director, Bank Regulatory Compliance – U.S. Cash Management, Capital Markets position

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Office Status: Hybrid (3 days per week)

Salary: $110,000 – $190,000


  • Advise business on complex transactions, new product, programs and vendor outsourcing initiatives, as well as strategic plans by providing regulatory compliance expertise and challenge; address compliance concerns including anti-tying, conflicts of interest and information barriers in coordination with surveillance and control room teams.
  • Advise cash management and corporate banking businesses on regulatory requirements as they pertain to corporate policies, internal procedures, 1LOD controls, product programs, disclosures, safety and soundness expectations, Intragroup arrangements between the 3WFC and its affiliates, and ongoing transactional activity
  • Lead design and roll out of applicable compliance controls, monitoring, processes, technology solutions, MIS analytics and metrics reporting.
  • Ensure alignment on best practices at the between compliance programs at the regional and global level.
  • Contribute to the Prudential Compliance Committee, 3WFC Branch Governance Committee, various Volcker Committees and New Product Committees among others.
  • Collaborate with stakeholders on regulatory examinations by OCC, FRB and NYDFS, internal audit and compliance reviews to address findings; plan and implement corrective actions.
  • Provide Compliance expertise and knowledge in the design and implementation of the U.S. Cash Management Business.