Branch Administrative Manager - Vice President
Core
Senior Vice President acting as a gatekeeper to provide regulatory supervision and oversight for Ultra-High Net Worth Banking and Brokerage client relationships.
Role type
Senior IC regulatory supervisor (Vice President)
Builds
Oversight, approvals, and policy exception controls for international private banking operations
Domain
Global banking/brokerage regulatory compliance
Required skills
Regulatory supervision, risk management, policy/procedure maintenance, financial regulations knowledge (SEC, FINRA, Fed, Volcker, GBSA, MiFID II, FATCA, AML), Series 7/63/9/10 licenses, risk analysis
Preferred skills
International clientele experience, AI tool utilization, Spanish language
Technologies
Risk Management Information System, AI tools
Responsibilities
Review and approve client communications, transactions, account openings, non-target leads, cross-border travel, and policy exceptions; Maintain relevant Policies and Procedures; Liaise with Legal, Compliance, and market heads to implement regulatory solutions; Coordinate strategic initiatives and drive enhancements
Seniority
Senior, hands-on IC