Compliance Policies Manager, Banking Regulations – Director

Full Time



Client is seeking an expert in Federal Reserve and other relevant Banking Regulations for the Compliance Department Americas Division (“CPAD”). This role reports to Compliance Policies Officer of CPAD and will be responsible for assessing current bank policies and procedures against regulatory requirements, filling any gaps, and updating as necessary. In addition, the Policies Manager will be responsible for ensuring that all bank policies conform to content and format standards. The Policies Manager will also assist the Compliance Policies Officer in a broad-based review and (where necessary) revision of policies and procedures, generally.

The candidate should have an extensive knowledge of US Bank regulations. The ideal candidate will be an attorney with a minimum of five years working in the area of banking law or as a senior examiner at a relevant regulatory agency. The candidate must be able to demonstrate expertise in writing clear, concise, and relevant policies and procedures; strong project management skills; and a familiarity with NYSDF regulations. Experience in the compliance-related related disciplines of risk assessment, the development of requirements and control inventories, and regulatory change management will be considered a plus.

Bank Policies Remediation:
• Review bank compliance policies against relevant regulations to identify gaps and any material shortcomings
• Identify policies that do not meet standards for both form and content
• Identify redundancies with other policies and make suggestions for eliminating documents as appropriate
• Work with bank and bank-compliance personnel to write and/or edit the bank policies as necessary and to ensure accurate and complete content and compliance with required templates
• Shepherd policies from drafting through publication, including, establishing consensus among Subject Matter Experts (SMEs) and other stakeholders
• Assist in communicating policies to relevant employees and coordinating with training development
• Memorialize, where applicable, direct relationships of laws, rules, and regulations to policies
Ongoing Role:
• Serve as primary editor/advisor regarding ongoing development and maintenance of policies related to banking regulation
• Assist in communication of bank-regulation and related policies
• Provide quality control (sample review) of bank policies uploaded into the policies system
• Assist in the development of “GRC” capabilities: inter-operability among applications focusing on policies, regulatory change, control and regulatory inventories, compliance/regulatory risk assessments, et al.

Required Experience
• Minimum of 10 years of prior regulatory, compliance, and/or editorial experience in the financial industry or a minimum of 5 years as an attorney concentrating on bank regulatory issues or as a senior examiner at a relevant regulatory agency
• In-depth knowledge of US banking laws, rules, and regulations; experience with a global financial institution, a plus
• Experience in managing projects in a complex business environment with multiple projects and priorities competing for attention
• A track record of on-time delivery

Required Skills/Abilities
• Current expert knowledge of banking regulations
• Excellent writing skills, with expertise in policy writing
• Ability to build consensus with relevant stakeholders
• Ability to work in a highly dynamic environment, to manage multiple projects simultaneously, and to re-prioritize workloads as necessary
• Have a sensitivity to cultural diversity
• Be comfortable interacting with all levels of management
• Able to maintain solid working relationships in a collaborative group environment

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