Deputy Head of Regulatory & Corporate Compliance

Our client is a well known investment bank in the Financial District looking for a Deputy Head of Regulatory & Corporate Compliance to join their Compliance team in NYC.

Job Summary:This role is responsible for completing Regulatory and Corporate Compliance ("RCC") duties, which include supporting the Head of RCC and managing activities in their absence, organizing special projects, supporting team activities and providing subject matter expertise and advisory support for related topics including FRB ABC regulations, conflicts of interest, monitoring & testing, regulatory change management, anti-corruption, code of ethics, and internal/Head Office reporting. This position will work with the Head of RCC in the review and submission of various Head Office ("HO") requests including updating programs, plans, reports, etc.

Responsibilities:• Coordinate and manage special projects; obtain project approval, identify and definedeliverables, coordinate project implementation, execution and completion of activities• Assist in the drafting of new ISPNY policies/procedures and review/updates of the regulatoryand corporate compliance policy documents including RCC policies, procedures, workflows,programs and plans to ensure consistency with US regulations/industry best practices andISP global polices and standards• Assist and coordinate with the HO and Head of RCC on core compliance projects / plans /programs.• Update, communicate and deliver internal and Head Office deliverables including reviews,advisory, periodic reporting and Compliance and Governance Committee data• Assist in the coordination of exam materials for U.S. regulators including the FRB, NYSDFS,NFA, and internal audits• Liaise with key functions, i.e., AFC Compliance, Governance, Human Resources, InformationTechnology, Cybersecurity, HO Privacy, HO Compliance and others on core compliancematters• Provide oversight and coordination in the completion of Monitoring and Testing activitiesincluding updating monitoring/testing scripts and procedures• Support team activities by conducting monitoring and testing, including communications e-surveillance, employee personal funds transfers, customer complaints, regulatory attestations.• Oversee and act as point of escalation for e-communication reviews• Provide support and advice to the front office inquiries regarding core compliance topics,including banking regulatory matters• Enhance content, coordinate, and assist in the development of annual trainings and outreachfor regulatory and corporate compliance awareness sessions as necessary• Participate in industry association committees and working groups• Backup for Head of RCC as needed

Qualifications:• Bachelor's degree in finance, law or related field• Juris Doctor or Master's degree in business/ finance a strong plus• Regulatory compliance related certifications a plus• Italian language fluency (both written and spoken) a plus• Exceptional verbal and written communication skills to deal with a wide variety of internalstaff and external counterparts• Good team player, independent, capability to work under pressure, ability to multi-task andmanage multiple deadlines• Ability to produce high quality work to meet challenging deadlines and review informationand identify key issues• Experience managing multiple projects• Experience at a Foreign Global Banking Institution• Knowledge of U.S. Banking regulations including FRB, NYSDFS (Regulation A, C, R, W, CC,etc.), FCPA, Privacy laws, Anti-bribery & Corruption, Bank Holding Company Act; andgeneral familiarity with the Dodd Frank Act (e.g. Title VI - Volcker Rule and Title VII - swapdealer)