VP Capital Markets Compliance Officer

Full Time

Financial Services Client

Office Status: Hybrid (3 days per week in office)

Salary: $150,000 – $210,000


  • Serve as Subject Matter Expert in providing institutional advice and with respect to banking rules and regulations.
  • Communicate with business unit and related groups to coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations and promote best practices
  • Assist in regulatory reviews including inquiries, audits, and exams
  • Provide advice and guidance with regard to compliance requirements of Regulation W
  • Support the creation, maintenance, and revision of existing and new policies and procedures relating to banking rules and regulations
  • Conduct appropriate Compliance monitoring
  • Provide periodic updates to senior management on institutional banking compliance matters
  • Represent Bank Compliance in Swap Dealer compliance matters including preparation of the Swap Dealer Annual Report
  • Prepare compliance related KRIs and dashboards
  • Support the development of and conduct compliance trainings for relevant employees
  • Conduct compliance risk assessments on the businesses covered and contribute to the development of the Annual Compliance Plan
  • Support the Bank Compliance testing team on their reviews of regulations
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