Vice President, Regulatory Compliance
Core
Lead regulatory compliance reviews, thematic assessments, and monitoring activities to assess adherence to laws and internal policies, identifying risks and control gaps within a banking branch.
Role type
Senior IC Vice President, Regulatory Compliance
Builds
Compliance risk profiles, management reports, and remediation tracking for a banking branch
Domain
Banking / Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance review, thematic assessment, control testing, risk assessment, remediation tracking, regulatory monitoring, management reporting, banking product knowledge, analytical thinking, problem-solving
Preferred skills
Strategic compliance initiative planning, compliance governance, stakeholder management, professional qualifications (CPA, CIA, CAMS, ICA), ECF on Compliance accreditation
Technologies
None stated
Responsibilities
Conduct compliance reviews and thematic assessments; Assess compliance with laws and regulations; Evaluate adequacy of controls and procedures; Perform control testing and follow-up reviews; Monitor regulatory developments and emerging risks; Track and report review findings and remediation progress; Support development of the annual Compliance Review Plan; Assist in compliance governance and strategic initiatives
Seniority
Senior, strategic leadership & hands-on execution