Compliance Ethics & Advisory Lead

Metropolitan Commercial Bank•New York, NY

6d•Hybrid

About The Position

As the Compliance Ethics & Advisory Lead, you will be responsible for administering the bank’s ethics compliance program. This role ensures the bank operates in compliance with applicable laws and regulations while promoting a strong culture of integrity, customer fairness, and accountability. This position is both strategic and hands-on, working closely with Chief Compliance Officer (CCO), Compliance, Risk, Human Resources, Legal, business lines, and senior management. You will administer the bank’s conflict of interest program; oversee compliance with regulatory requirements around conflicts of interest including pay-to-play; promote ethical behavior and decision-making across all levels of the organization (“culture of compliance”); manage the ethics reporting process (including anonymous reporting mechanisms); deliver practical, role-based compliance and ethics training to employees; provide day-to-day compliance guidance to frontline staff and management; develop clear, concise communications on regulatory and ethical expectations; oversee processes for employee self-reporting of gifts received, outside business activities, and applicable political contributions; and conduct or support internal investigations into ethics or conduct-related concerns. You will support the CCO and other Compliance Advisory teams in ensuring the bank’s compliance with banking and consumer protection regulations. You'll support the development and implementation of compliance management system (CMS) strategies within our bank. Your responsibilities will include ensuring implementing strategies to enhance CMS, mitigating risks, enhancing regulatory controls, identifying, and assessing potential risks, and producing detailed risk reports for stakeholders. Additionally, you'll collaborate with members of Compliance and Risk teams and various other departments to further your job objectives. Strong analytical skills, attention to detail, and a thorough understanding of risk management principles are essential for success in this role. Your role, reporting directly to the Chief Compliance Officer (CCO), will be to lead implementation and management of a comprehensive Ethics Compliance program; and to support the bank in assessing and addressing conflicts and interests, compliance risks, and control gaps. The successful candidate for this role will be a proactive and analytical individual with a solid understanding of Ethics Compliance, ethics, banking and consumer protection regulations, risk management principles, excellent communication skills, and the ability to work collaboratively in a dynamic environment.

Requirements

Bachelor's degree in business, finance, compliance, risk management, or a related field. Advanced degree or professional certification (e.g., CRCM, CCEP) is preferred.
10+ years of experience in ethics compliance, consumer compliance, enterprise risk management, or related roles within a banking environment and/or consulting.
Experience of interacting with regulators and responding to audit and exam requests.
Proficiency in compliance and risk management principles, methodologies, and frameworks.
Strong analytical skills with the ability to gather, analyze, and interpret complex data.
Familiarity with compliance risk management software and tools (e.g., GRC platforms).
Curiosity and interest in learning and adapting new and emerging technologies including AI.
Excellent written and verbal communication skills, with the ability to convey complex risk concepts in a clear and concise manner.
Strong presentation skills, including the ability to present findings and recommendations to senior leadership.
Ability to collaborate effectively with cross-functional teams and build relationships with stakeholders at all levels of the organization.
Strong project management skills, with the ability to prioritize tasks, meet deadlines, and manage multiple projects simultaneously.
Meticulous attention to detail and accuracy when analyzing data, preparing reports, and documenting risk management processes.
Knowledge of Federal Reserve, New York State Department of Financial Services and Consumer Financial Protection Bureau rules and regulations.
Knowledge of banking regulations and regulatory frameworks, including but not limited to Dodd-Frank Act, and consumer protection laws. Knowledge of requirements for banks exceeding the $10 billion asset threshold.
Strong analytical skills with the ability to interpret emerging risks and issues, and trends in Key Risk Indicator data in order to escalate any negative trends to senior management.
Detail-oriented and organized, with the ability to manage multiple priorities and deadlines in a fast-paced environment.
Sound judgment and decision-making skills, with the ability to balance regulatory requirements with business objectives and risk considerations.
Driven by a passion and curiosity to continuously learn how various technological systems, including AI, can enhance the work that you do.

Nice To Haves

Advanced degree or professional certification (e.g., CRCM, CCEP) is preferred.

Responsibilities

Lead implementation and management of a comprehensive Ethics Compliance program
Oversee compliance with regulatory requirements around conflicts of interest including pay-to-play Promote ethical behavior and decision-making across all levels of the organization
Manage the ethics reporting process (including anonymous reporting mechanisms)
Deliver practical, role-based compliance and ethics training to employees
Provide day-to-day conflicts of interest compliance guidance to frontline staff and management
Develop clear, concise communications on regulatory and ethical expectations
Oversee employee self-reporting of gifts received, outside business activities, and applicable political contributions
Conduct or support internal investigations into ethics or conduct-related concerns
Support assessment and addressing compliance risks and control gaps across business lines with applicable banking and consumer protection regulations such as Reg B, Reg C, Reg CC, Reg DD, Reg Z, UDA(A)P, Fair Lending
Develop and implement standard Ethics Compliance and other reporting for Regulators, Board, and management committees
Support Compliance with audits and exams including timely and quality responses to information requests from auditors and examiners
Perform any ad hoc initiatives as requested by the Chief Compliance Officer
Highly visible role with regulator interaction with senior management