New job Private Bank – Compliance Executive for Core Compliance New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Private Bank – Compliance Executive for Core Compliance New York, NY Gerald Elliott posted a job: Private Bank – Compliance Executive for Core Compliance New York, NY "Our client is a top-tier old-line private bank and diversified financial services firm. The company seeks an experienced Senior Compliance Manager for Core Compliance functions. The position is very diversified and covers many responsibilities within the Compliance Department. The Compliance Executive will support the Chief Compliance Officer, advise the firm’s lines of business as to compliance with applicable laws and regulations, and monitor business activity and employee conduct to identify potential violation of laws, rules, regulations, policies, procedures and industry standards. The Compliance professional will regularly coordinate with Compliance colleagues, senior management and other control functions to identify potential risks, deter misconduct, and take appropriate remedial action in the event wrongdoing does occur. Due to the enterprise-wide nature of the role, the officer must be able to successfully identify patterns of improper behavior or activities, material or systemic weaknesses and potential regulatory issues across multiple lines of business. Responsibilities include: Compliance Operations and Systems * Support CCO in connection with SEC and FINRA rules, banking regulations, and firm policies. * Manage administration of annual policies and procedures review and annual Compliance training requirements. * Manage operational functions within Compliance, including employee disclosure program (Gifts and Entertainment, Outside Business Activities, Political Contributions, etc.) Project Management * Perform project management activities to ensure projects are delivered on time and within budget. Support Compliance groups. * Help manage the firm’s “control room” that, among other things, administers information barriers between business units. Systems Liaison * Act as the advocate for Compliance during systems project lifecycle. * Analyze Compliance needs for technology solutions. * Organize and write user requirements and business cases for systems projects. Communication * Assist with updating and amending policies and procedures in light of regulatory developments (such as new rules and enforcement and disciplinary actions), as part of self-assessment and internal examinations and/or as a result of business changes. * Provide comprehensive Compliance management reporting, noting trends and escalating matters where necessary. * Support training and education programs to keep business personnel and other employees apprised of policies and procedures and regulatory events. * Manage social issues. QUALIFICATIONS: * College degree, an advanced degree (JD,MBA) preferred, and a minimum of 10 years director compliance experience in the financial services industry. * Excellent communication and presentations skills to influence results and articulate recommendations. * Proven ability to effectively manage multiple client relationships. * Series 7 required, Series 24 a plus. To apply please submit your resume to J. Spencer Reynolds at info@ComplianceSearch.com"

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