Vice President Compliance

Job Description:Job Title Controls Testing & Assurance CT&A – Compliance Testing – Fixed Income and CurrenciesCorporate Title Vice PresidentLocation New YorkOverviewTheBank’s Compliance Testing Team, an assurance function within CT&A, conducts testing on the design and operating effectiveness of the Businesses’ control environment and adherence to applicable regulation and the Bank’s policies. Compliance Testing also helps confirm that control gaps are adequately escalated and mitigated through remedial actions. The primary focus for this Vice President (VP role will be on coverage of the Firm’s compliance with Fixed Income & Currencies (FIC) rules and regulations and relevant Firm Policies & Procedures.What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaborationA hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer daysEmployee Resource Groups support an inclusive workplace for everyone and promote community engagementCompetitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefitsEducational resources, matching gift and volunteer programsWhat You’ll Do Supervise Compliance Testing reviews of the Firm’s Institutional FIC Sales and Trading businessesConduct compliance reviews under the direction of the Americas Head of CT&A to assess and review compliance with legal, regulatory and internal firm policy requirements applicable to TheBank products and services in the AmericasDevelop testing modules and conduct testing across all TheBank Americas business activities to evaluate adherence to regulatory requirements and compliance risksMaintain solid working relationships with Business Line Compliance, Front Office, Operations, Group Audit, and other control groups throughout the regionParticipate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of CT&A, Business Line Compliance and Business management. Ensure the review work plan addresses: 1) compliance risks, key controls and regulatory priorities; and 2) the reviews are designed to meet applicable regulatory guidanceHow You’ll LeadManage Compliance Testing of the FIC business by working with colleagues who will report into youCoordinate and establish working relationships with key Firm stakeholders including the Front Office, Business Line Compliance, and control groups supporting the FIC businessSkills You’ll Need BA or BS Degree a must. JD, MBA or master’s degree a plusExtensive years’ experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit roleModerate years’ experience with Compliance Testing or AuditKnowledge of FIC products and relevant regulations is a mustKnowledge of regulations governing financial institutions including the rules and regulations of the Federal Reserve Bank (FRB), Outbound Control Centers (OCC), Federal Deposit Insurance Corporation (FDIC), Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), NFA, and Commodity Futures Trading Commission (CFTC)Skills That Will Help You ExcelHistory of managing employees and Compliance Testing reviewsStrong business writing skillsExcellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders, including regulators and senior management. This includes the ability to independently vet findings, issues, deficiencies and helping to develop remediation plansStrong analytical and investigative skillsStrong problem-solving skills including the ability to identify the root cause of issues, and strong organizational and project management skills and attention to detailExpectationsIt is the Bank’s expectation that employees hired into this role will work in the New York office in accordance with the Bank’s hybrid working model.TheBank provides reasonable accommodations to candidates and employees with a substantiated need based on disability and/or religion.The salary range for this position in New York City is $125,000 to $183,500. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications. Posted salary ranges do not include incentive compensation or any other type of renumeration.