Vice President, Bank Compliance – Institutional Business and Regulation W Coverage
Core
Subject Matter Expert providing compliance advice and guidance to institutional businesses on U.S. banking rules and regulations.
Role type
Vice President, Bank Compliance (Institutional Business and Regulation W Coverage)
Builds
Compliance policies, procedures, risk assessments, and training programs for Institutional Securities Group businesses.
Domain
Financial Services / Banking Regulation
Deliverable
dashboards & analysis
Required skills
Knowledge of Regulation W, Regulation O, Anti-Tying rules, Government Securities Act; Knowledge of OCC and Federal Reserve regulations; Analytical skills; Project management; Client relations
Preferred skills
MBA or JD; CRCM certification
Technologies
None stated
Responsibilities
Provide advice and guidance on compliance requirements; Support creation and revision of policies and procedures; Conduct compliance monitoring; Prepare compliance related KRIs and dashboards; Support development and conduct of compliance trainings; Participate in compliance risk assessments; Support Bank Non-Financial Risk Testing team; Analyze compliance requirements for New Product Approvals
Seniority
Vice President, Senior Management
