Branch Administrative Manager - Vice President
About The Position
The Branch Administrative Manager (BAM) is a member of the Business Supervisory Office (BSO) and works directly with the Front Office, Senior Leaders, and other BSO Advisors to provide Regulatory Supervision over the International Private Bank’s Ultra-High Net Worth Banking and Brokerage client relationships. This role requires a Vice President with a Regulatory Supervision and/or Branch Administrative Manager background to understand the current and upcoming regulatory landscape and emerging risks in the global banking/brokerage industries. You will act as a gatekeeper to provide oversight, approvals, exceptions, and a layer of control from inadvertent errors, policy & procedure violations.
Requirements
- Relevant industry experience in Regulatory & Supervision
- Series 7, 63, 9 & 10 (series 24 optional)
- Strong risk mindset, but also curious to engage with leadership team to develop new opportunities/enhancements
- Must be detail oriented on specific regulatory controls and have an analytical mindset with the ability to deliver key insights
- Prior experience working with international clientele/organizations preferred
- Strong communication skills
- Motivated and enthusiastic team player, able to work with others in a fast paced, independent, and dynamic financial environment
- Aspirational for further growth opportunities
- Ability to say ‘no’, while being solution focused
Nice To Haves
- additional language skills such as Spanish would be preferential, but not required
Responsibilities
- Senior Vice President role to manage risks for the Bank, while working closely with senior leadership to advise on risks, facilitate commercial opportunities and drive strategic enhancements
- Review and approval of client communications, transactions, account openings, non-target customer leads, cross-border travel, and policy exception requests
- Review, approval, and maintenance of relevant Policies and Procedures (WSPs, KODs)
- Knowledge of financial regulations including Securities and Exchange Commission, Financial Industry Regulatory Authority, and Fed including but not limited to Volcker, GBSA, Markets in Financial Instruments Directive/Regulation II, FATCA, 3rd and 4th European Union Anti-Money Laundering mandates
- Risk Management Information System / report review, resolution, escalations
- Role is both tactical and strategic in nature – you will be responsible for coordination of strategic longer-term initiatives, can build strong relationships with senior leadership team and initiate/develop enhancements projects as well as day to day support in these initiatives
- Liaise with Legal, Compliance, Divisional Control Office, market, and product heads, Agile and Chief Operating Officer and other internal partners to develop and implement solutions/compliance with various regulatory (internal and external) requirements
Benefits
- A hybrid working model, allowing for in-office / work from home flexibility
- generous vacation, personal and volunteer days
- Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
- Competitive compensation packages including health and wellbeing benefits
- retirement savings plans
- parental leave
- family building benefits
- Educational resources
- matching gift
- volunteer programs
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
