(Securities) VP, Head of Compliance
Core
Leads the Local Compliance department to ensure organizational adherence to legislation and regulations by embedding Compliance Risk Management practices and acting as a navigator for the bank.
Role type
VP/Head of Compliance (Securities)
Builds
Compliance frameworks, risk management procedures, and regulatory reporting mechanisms for the local organization.
Domain
Financial Services / Banking Compliance / Securities
Deliverable
client delivery
Required skills
Compliance risk management, regulatory interpretation (FISCMA), stakeholder engagement, performance management, data protection oversight, anti-money laundering (AML) monitoring, consumer protection, privacy policy implementation
Preferred skills
Experience in regional/global compliance alignment, business process challenge
Technologies
None stated
Responsibilities
Translate compliance risk appetite into principles and objectives; provide authoritative compliance advice to senior managers; manage stakeholders and coordinate engagement plans; challenge business initiatives for compliance deficiencies; proactively inform and respond to regulators; set performance objectives for direct reports; drive compliance culture; act as Whistleblower, MLRO, Data Protection Officer, Chief Consumer Officer, Chief Privacy Officer, and Credit Information Protection Officer
Seniority
VP, strategic leadership with hands-on execution