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Subject: Country Compliance Manager, New York, NY

Alice Morgan posted a job: Country Compliance Manager, New York, NY

"To provide pro-active support to all business and support units in the Americas and to assist senior management in ensuring that the Bank operates in accordance with all legal and regulatory requirements and all Group and Americas codes of conduct, so as to protect and enhance the reputation of the Bank with its regulators and avoid significant financial loss. Responsibilities: Regulatory Risk Identification and Policy Setting: * Leads in the identification of material regulatory risks in-country through measured analysis of factual scenarios and / or documentation. * Develops and delivers an annual Compliance Plan for the Country Compliance team as an overarching document highlighting key priorities, risks, issues, people issues, etc. * Anticipates, assesses and communicates key regulatory risk trends in-country, for management consideration, and drives the development and implementation of appropriate mitigation control measures. * Assists, in conjunction with Country and Business compliance teams, ensuring that regulatory changes and guidance are communicated to the business and incorporated in business practice. * Work on various Project Steering Committee (PSC) to ensure Americas Governance constructs firmly in place. Proactive Board membership. * Oversee Branch/Rep Offices Regulatory notification/approval filings for relocations. Regulatory Advice: * Provides timely regulatory advice and recommendations on key issues (including on Prudential Regulation, in partnership with Finance and Risk Functions) and proactively monitors regulatory developments. * Provides guidance on proper application and interpretation of banking laws, regulations and policies applicable to the country. Regulatory Training: * Delivers or procures delivery of a program of activities that educates and encourages managers and staff to operate in compliance with relevant laws, regulations and policies. Such training would include key group compliance and regulatory issues, for example Outsourcing, Senior ,Management Responsibilities, Code of Conduct, and Regulatory management. Compliance Reporting: * Prepares regular and accurate reports that demonstrate understanding, provide clear analysis and are escalated to the relevant risk managers and governance bodies. Qualifications: * Knowledge of business areas and their products and the relevant regulatory and legal requirements that apply. * The ability to manage the relationship with relevant government and regulatory stakeholders, to understand their concerns and influence them to effectively manage our external operating environment. * Knowledge of local and regional/global (where appropriate) regulatory developments and understanding of how these affect local delivery of products and services. To apply please submit your resume to info@compliancesearch.com"

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