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Subject: AVP, Compliance Risk Reviews New York, NY

Gerald Elliott posted a job: AVP, Compliance Risk Reviews New York, NY

"Top-tier financial services firm is looking for an AVP to join the Global Compliance Risk Review team (“CRR”) supporting the Compliance Risk Review Program for the Americas with an emphasis on the branch inspection. The CRR program is designed to independently assess and report on areas of potential reputation or regulatory risk by verifying business understanding and testing compliance with relevant regulations and policies. In the U.S, the CRR team will be primarily responsible for evaluating the firm’s compliance with Firm policies and procedures in accordance with relevant regulatory requirements including, without limitation, NYSE Rules 342 and 343 and NASD Rules 3010(c) and 3012. Main Duties – Assist senior team members in the execution of branch, desk and thematic compliance reviews according to the established review schedule and ad hoc regulatory / business commitments; – For branch reviews, execute reviews based upon prescribed programs for each business – Validate compliance against established policies and procedures and applicable regulations – Develop recommendations for corrective actions based on review findings – Work with branch management and business compliance officers to agree on appropriate action plans – Present and report review results to branch, business and compliance management – Follow-up on action plans to verify that corrective action has been effectively implemented – Satisfy standards for delivering high quality value added compliance risk reviews – Provide guidance on supervisory, administrative and operational findings related to review areas – Anticipate and provide solutions to complex issues – Maintain a broad knowledge of the Firm’s business and regulatory framework in which it operates – Maintain relationships with branch, business and compliance management to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm Qualifications: – 4 year Bachelors Degree or international equivalent – 5+ years of relevant compliance experience in a global investment bank or regulatory experience – Must have Investment Bank product knowledge – Must have experience in retail business – Must have knowledge of regulatory rules and regulations To apply please submit your resume to Info@compliancesearch.com"

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