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Job description
Regulatory and Corporate Compliance Officer VicePresident
Location: New York, US
Overview
You will report to the Local Head of Regulatory and Corporate Compliance within the New York Branch Compliance Function of Intesa Sanpaolo, one of the largest banking groups in Europe. You will be responsible for carrying out RCC activities, including maintaining the Watch and Restricted List, reviewing bank transactions and employee trading data for conflicts of interest, monitoring employee communications, and mandatory compliance training completion, and conducting testing for compliance with various bank policies and regulations. The role also provides compliance advisory support on various topics and related projects, as needed.
What you’ll be doing
Manage WRL processes, including deal/transaction and staff registration in the WRL platform
Provide timely guidance on WRL and wall-crossing, liaising with HO Compliance and resolving issues effectively
Coordinate with business units and HO on complex WRL scenarios
Review and approve deal closures and wall-crossing requests
Ensure compliance with WRL policies and elevate breaches
Perform e-communications and employee trade surveillance, identifying conflicts or risks
Monitor compliance training completion
Administer the compliance platform (profiles, attestations, reporting, vendor coordination)
Provide guidance on personal trading rules
Execute monitoring/testing under the RCC Program and track issues
Support reporting, audits, regulatory reviews and RCC projects
Who we are looking for
5-10 years of experience in a similar role within international banks
Minimum 5 years of relevant financial industry experience in Compliance, Legal, Risk Management, or Controls Testing with a strong understanding of U.S. regulatory requirements
Bachelor's degree required. Master’s degree in relevant subject, is preferred
Certifications related to regulatory compliance and/or ethical leadership a plus
Strong ability to operate effectively within a complex, international organization a plus
What we offer
The salary range for this position is 130k $- 160k $
We guarantee an inclusive and equal environment. We will consider all applicants regardless of race, religion, sexual orientation, gender identity, marital status, national origin, age, disability, or any other protected category in compliance to D.lgs. 198/2006, 215/03 and 216/03.
For the evaluation of the application, the data will be processed by Intesa Sanpaolo S.p.A.as Data Controller. We invite you to review the dedicated Privacy Information Notic e for more details.
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.