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, specifically Regulation W, Regulation O, Anti-Tying rules, and the Government Securities Act.
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
Required skills
Knowledge of banking regulations (OCC, Federal Reserve), regulatory analysis, policy development, compliance monitoring, risk assessment, training development, stakeholder coordination
Preferred skills
MBA or JD, CRCM certification, experience with New Product Approvals
Technologies
None stated
Responsibilities
Provide advice and guidance on compliance requirements for Regulation W, Regulation O, Anti-Tying rules, and Government Securities Act; Support creation and revision of compliance policies and procedures; Conduct compliance monitoring; Prepare compliance-related KRIs and dashboards; Support development and conduct of compliance trainings; Participate in compliance risk assessments and Annual Compliance Plan development; Analyze compliance requirements for New Product Approvals
Seniority
Vice President, Senior leadership level
