Director, Infrastructure Advisory Compliance

Full Time

International Bank Client

Office Status: Hybrid

RESPONSIBILITIES

  • Provide compliance advice and guidance to the Operations and Technology departments
  • Train Operations and Technology professionals
  • Managing compliance with certain obligations such as, for example, those regarding non-disclosure of confidential supervisory information and pledged assets
  • Overseeing Compliance department efforts and obligations with respect to other banking regulations and guidance such as, among others, those relating to anti-tying,
  • Regulation YY and applicable SR letters
  • Coordinating bank regulatory Compliance programs for other branches including the Cayman Branch activities
  • Reviewing bank regulatory compliance policies and related compliance and other department procedures on cyclical basis
  • Participating in compliance training program as subject matter expert by drafting appropriate training materials and conducting trainings as required
  • In coordination with Compliance surveillance team, reviewing surveillance and other control reports and developing or enhancing controls where needed
  • Participating in annual and ad hoc risk assessment exercises
  • Participating in Firm committees as bank regulatory compliance subject matter expert

JOB REQUIREMENTS

  • Minimum 15 years of experience in financial services including regulatory related work
  • Exceptional organizational and time management skills are essential for the role
  • Excellent communicator in both the written and oral form;
  • Ability to create clear, convincing and well-organized presentations and communications;
  • Experience working for a non-U.S. bank highly desirable;
  • Familiarity with U.S. legal and regulatory requirements applicable to non-U.S. financial institutions engaged in corporate banking and institutional trading & sales activities highly desirable
  • Experience dealing with U.S. banking and securities regulators, including the Federal Reserve, SEC/FINRA, and CFTC/NFA preferred but not required
  • Bachelor’s Degree required – Masters or JD are a plus
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