Regulatory and Corporate Compliance Officer VicePresident
About The Position
This role reports to the Local Head of Regulatory and Corporate Compliance within the New York Branch Compliance Function of Intesa Sanpaolo. The officer will be responsible for carrying out Regulatory and Corporate Compliance (RCC) activities. These include maintaining the Watch and Restricted List, reviewing bank transactions and employee trading data for conflicts of interest, monitoring employee communications, ensuring mandatory compliance training completion, and conducting testing for compliance with various bank policies and regulations. The role also involves providing compliance advisory support on various topics and related projects as needed.
Requirements
- 5-10 years of experience in a similar role within international banks.
- Minimum 5 years of relevant financial industry experience in Compliance, Legal, Risk Management, or Controls Testing.
- Strong understanding of U.S. regulatory requirements.
- Bachelor's degree required.
Nice To Haves
- Master’s degree in a relevant subject is preferred.
- Certifications related to regulatory compliance and/or ethical leadership are a plus.
- Strong ability to operate effectively within a complex, international organization is a plus.
Responsibilities
- Manage Watch and Restricted List (WRL) processes, including deal/transaction and staff registration in the WRL platform.
- Provide timely guidance on WRL and wall-crossing, liaising with HO Compliance and resolving issues effectively.
- Coordinate with business units and HO on complex WRL scenarios.
- Review and approve deal closures and wall-crossing requests.
- Ensure compliance with WRL policies and escalate breaches.
- Perform e-communications and employee trade surveillance, identifying conflicts or risks.
- Monitor compliance training completion.
- Administer the compliance platform (profiles, attestations, reporting, vendor coordination).
- Provide guidance on personal trading rules.
- Execute monitoring/testing under the RCC Program and track issues.
- Support reporting, audits, regulatory reviews, and RCC projects.
Benefits
- The salary range for this position is 130k $- 160k $
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What This Job Offers
Job Type
Full-time
Career Level
Executive
