Associate / Assistant Vice President, Corporate Compliance

Lloyds Banking Group•New York, NY

12d•$125,000 - $150,000

About The Position

The Corporate Compliance Officer is responsible for the day-to-day administration of the Corporate Compliance Program, which include both bank and broker-dealer compliance and regulatory responsibilities.

Requirements

Minimum of 3 years experience with Commercial Banking business and knowledge of relevant banking regulations desired
Experience developing and implementing corporate compliance policies and procedures
Bachelors degree required
Initiative and sound judgment
The ability to multi-task and prioritize conflicting demands
Strong interpersonal skills to build partnerships with all colleagues within and outside of Compliance Department
Good oral and written communication skills
Proven analytical ability and attention to detail
Experience using Microsoft Office including Excel and PowerPoint

Responsibilities

Assist in the implementation of the Corporate Compliance Program.
Contribute to review, revise, and update Corporate Compliance policies, programs, and procedures to ensure compliance with applicable regulations and group policy requirements.
Assist with Corporate Compliance risk assessments, gap analyses, and program reviews to ensure a robust control environment.
Draft compliance communications/reminders for the Business.
Prepare monthly governance reporting and compile committee packs.
Collect and maintain KRIs/conduct metrics.
Assist with regulatory exams, inquiries, and investigations.
Perform horizon scanning and monitor regulatory change.
Review client transactions and colleague travel for cross border compliance requirements.
Monitor and review conflicts of interest and anti-bribery disclosures including charitable donations, event sponsorship, and gifts & entertainment.
Assist in the investigation of complaints and colleague infractions, including breaches of policies and procedures.
Conduct email surveillance.
Assist with the implementation and monitoring of the compliance training program including performing training reviews/edits and testing.
Support Group-wide Compliance initiatives.