AVP, International Private Bank Business Line Compliance

Full Time

International Bank

Office Status: Hybrid

Your Key Responsibilities:

  • Contribute to the operation of select controls (e.g., participating in the New Product Approval process by reviewing new business initiatives for consistency with regulatory requirements and reviewing marketing material against minimum standards); reviewing new products, marketing materials and other forms of communications for regulatory compliance and adherence to firm standards
  • Working closely with other control groups such as legal, divisional control, audit and business supervisory functions to ensure coverage is comprehensive and consistent and that issues are appropriately addressed on a timely basis
  • Ensure global and local Compliance policies and procedures are reviewed and updated on a timely basis, incorporating regulatory changes and industry best practice; support the Global Compliance Monitoring Program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan
  • Assist in the execution of ad-hoc and key Compliance project work, and the timely resolution of regulatory or internal investigations and inquiries, communicating the results to our regulators in conjunction with Regulatory Management as necessary
  • Conduct regular compliance risk assessments and compliance targeted reviews, considering an array of contextual data including regulation, policies, procedures, controls, training and governance structures, escalating and assisting in the remediation of any identified gaps
  • Develop and deliver face-to-face Compliance training to the Businesses as requested/required in line with regulatory requirements and annual training objectives. Training ranges from general Compliance inductions to targeted sessions on topics such as cross-border activities, conflicts of interest, and suitability and appropriateness

Your Skills and Experience:

  • Bachelor’s degree or higher in related field of study
  • Solid working knowledge of private banking/wealth management products and services
  • Ability to work effectively with senior business management and staff within a matrixes organization and engage and provide pro-active advice
  • Ability to engage others in open, honest dialogue and directly addresses conflict when it arises
  • Excellent Excel and PowerPoint skills
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