AVP - Bank Regulatory Compliance Officer

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POST DATE 8/24/2016
END DATE 12/19/2016

Bond Street Group New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #


JOB TITLE: AVP, Bank Regulatory Compliance Officer



Our Compliance Department is looking to hire an AVP level Bank Regulatory Compliance Officer. The primary responsibility of the candidate is the active participation and management of the regulatory compliance testing program by serving as the "examiner-in-charge". The scope of this responsibility is inclusive of pre-planning and administration, coordination of engagements (at times with colleagues), execution of test procedures, work paper compilation/review, reporting and issues tracking. Strong knowledge of US Banking laws regulations required.


- Ongoing execution and administration of the compliance monitoring program including, but not limited to the timely execution of monitoring procedures, work paper compilation/review and reporting of results.
- Assisting in the ongoing development, implementation and refinement of a comprehensive compliance program.
- Conducting annual risk-assessments of banking laws and regulations in support of a risk-focused compliance monitoring and testing framework.
- Conducting annual compliance policies and procedures reviews, including the development and implementation of new policies and procedures, as needed.
- Overseeing the ongoing surveillance of employee personal trading activity including, but not limited to on-boarding of new employees, watch/restricted list maintenance, timely disposition of violations, reporting and maintenance of the surveillance system.
- Assisting in the development, delivery and tracking of corporate compliance training.
- Performing ad-hoc special projects assigned by the Chief Compliance Officer or Local Compliance Officer.


- The ideal candidate should have 3-5years of bank compliance experience.

- Supervisory experience and audit background are a plus.

- Knowledge of U.S. banking laws and regulations required.
- Familiarity with Compliance Science's - Personal Trading Control Center application is a plus.
- Knowledge of commercial banking products and businesses.
- Strong interpersonal and communication skills (verbal and written).
- Ability to work well independently or within groups.
- Management of processes will require a "hands on" approach.
- Excellent organization skills.
- High degree of attention to detail.
- Ability to manage multiple tasks and deliver a quality work product.
- Ability to quickly adapt to changing tasks and workload.