Broker Dealer Compliance Officer – VP

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

  • Responsible for the coordination and drafting of management related reports on a timely basis.
  • Communicate policies, procedures and new regulatory requirements simply and efficiently to affected business and infrastructure units in order to minimize bureaucracy and process burden.
  • Design, implement and maintain Compliance policies and procedures to ensure consistency in achieving industry best practices and in minimizing regulatory risk.
  • Coordinate compliance regulatory examinations, inquiries, and audits and support the drafting of responses to these requests for information.
  • Coordinate, draft and present training materials.
  • Coordinate with compliance staff of other entities within the company
  • Provide thought leadership and subject matter expertise for compliance issues.
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