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Compliance Advisor - Risk & Finance, VP Level

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POST DATE 8/18/2016
END DATE 12/19/2016

The Compliance Search Group New York, NY

The Compliance Search Group
Job Classification
Full Time
Company Ref #
New York, NY
Job Type
AJE Ref #



Our client, a global banking and financial services company, is seeking a Compliance Advisor to join their team. This Compliance Advisory position focuses on the Risk, Finance, Tax, Brand and Communications, and other functional areas for the US Corporate and Institutional Banking business activities.


The Compliance Advisor provides regional coverage to the Risk, Finance, Tax, , Brand and Communications, and other functional teams within the Capital Markets Division of the Corporate and Institutional Banking ("CIB") business for the bank, broker-dealer and futures commission merchant.

The primary focus of this role is to:

* Provide compliance advice and coverage to Senior Managers and their staff. This candidate will assist in promoting and driving the compliance culture within the Risk, Finance, Tax ,Brand and Communications, , and other functional teams, reinforcing key processes and controls and providing compliance advice for routine issues, new rule/regulation implementation, business process changes and system enhancements.



* Serve as a primary compliance advisory point of contact to the Risk, Finance Tax,, Brand and Communications, and other functional teams;
* Monitor day-to-day (ad-hoc) compliance issues and escalate to Business and Compliance management as necessary;
* Assist with developing and implementing compliance policies, including supervisory procedures and WSPs for Risk, Finance, Tax,, Brand and Communications, and other functions in accordance with applicable rules and regulations;
* Assist the Compliance Examinations and Inquiries teams in providing information for regulatory examinations and inquiries;
* Implement training on relevant regulatory rules and topics for the Risk, Finance, Tax Brand and Communications, and other functional teams;
* Work closely with various Compliance Advisory teams in providing compliance advice to regulatory reporting issues and advising on matters relating to 1st level controls and monitoring;
* Assist in interpreting, communicating and implementing policy and procedure updates as a result of new regulatory rules and rule changes affecting the Risk, Finance, Tax, Brand and Communications, and other functional teams;
* Work closely with the Independent Testing and Risk Assessment to test and verify Risk, Finance, Tax, Brand and Communications, and other functional changes, specifically in regards to technology enhancements.



* Ability to interact and provide compliance support to Risk, Finance, Tax, Brand and Communications, and other function managers within a varied landscape in regards to business lines and regional locations;
* Previous exposure to Risk Functions such as Credit Risk, Market Risk, Counterparty Risk, Funding risk, Insurance Risk, etc.;
* Previous exposure to Finance Functions such as budget/revenue projections, revenue/expenditure activity, auditing and financial controls, Tax Management and Liability, etc;
* Previous exposure to capital requirements, such as Base II and III, reserve requirements, corporate governance, financial reporting and disclosure requirements, and credit rating requirements;
* Familiarity with industry standards and best practices.


* 8 - 10 years of experience with a financial services firm and/or self-regulatory organization in a compliance or compliance related position;
* Experience working with Risk, Finance and Tax, functions a must;
* Bachelor's degreerequired;
* French language skills a plus;

* Self-motivated, willingness to learn and a desire to work in a challenging work environment. Strong:

* Organizational skills and capable of dealing with multiple projects simultaneously;
* Comfort interacting with colleagues of all seniority levels, including divisional senior management;
* Presence, interpersonal skills and effective writing, analytical and communication skills;
* Bank/broker-dealer/Futures Commission Merchant Risk, Finance, and Tax, experience and understanding.


* Not Applicable