VP-Regulatory Compliance Officer-CIB
Company: Santander
Location: New York
Posted on: January 27, 2023
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Job Description:
VP-Regulatory Compliance Officer-CIB
Country: United States of America
WHAT YOU WILL BE DOING
The VP, Compliance Officer coordinates and implements a wide range
of regulatory compliance initiatives, including:
monitoring activities to minimize exposure to risk and to ensure
adherence to policies and procedures;
coordinating with first line of defense and support areas to
identify risks;
developing plan for resolution of issues;
updating and maintaining regulatory compliance policies and
procedures;
coordinating second line of defense training modules for
employees;
developing, tracking and analyzing regulatory developments;
creating compliance communications; and
reporting on regulatory compliance matters to senior management
.
Responsibilities:
Assisting in the implementation and administration of the
compliance program, including federal banking regulations and
business practices.
Drafting and updating policies and standard operating procedures
related to the compliance program.
Monitoring of the compliance procedures and controls for
effectiveness, and recommend changes as appropriate.
Coordinating with regional and global compliance for the
development, maintenance and delivery of tailored training modules
on compliance and ethics-related topics.
Coordinating annual attestations (i.e. code of conduct, personal
securities transactions, outside business activities). Collect and
maintain a Tracking Report of the statements and information
provided by the employees.
Coordinating and executing the compliance and regulatory
initiatives and other special projects, including regulatory risk
assessments and periodic compliance reporting, and analysis of new
regulations, regulatory guidance, and compliance processes.
Monitoring and researching regulations to determine applicability
to the business and implement responsive compliance measures.
Preparing reports as necessary to be presented at Compliance, Risk
and Management Committees.
Monitor industry developments and maintain knowledge of new and
amended laws and regulations
Participate in industry forums to enhance compliance knowledge.
Promoting knowledge sharing and promulgation of best practices
across SCIB Compliance and the business.
Informing Compliance management of significant compliance matters
that require their attention or action.
Additional duties as assigned.
Qualifications
5+ years financial industry experience within a U.S. regulated
financial institution, specific work experience with banking and
broker-dealer federal and state regulations.
Bachelor's degree.
Advanced knowledge in risk identification, risk assessment,
controls development, training, monitoring and reporting.
Ability to prioritize and manage multiple tasks in a high pressure
environment.
In-depth knowledge of current financial regulatory requirements for
corporate and investment banking business.
Experience in negotiating transactional documentation (i.e. for
loans, securities underwriting) and third-party vendor agreements
(i.e. service agreements, license agreements).
Strong critical thinking and analysis skills, verbal and written
communications skills, and project management skills.
Ability to work independently.
Proficient with Microsoft products and legal systems (Westlaw).
Spanish (will be a plus but not required)
At Santander, we value and respect differences in our workforce and
strive to increase the diversity of our teams. We encourage
everyone to apply.
For NYC Job Applicants: The base annual salary range for this
position is $105,000-$160,000. The exact compensation may vary
based on skills, experience, training, licensure and certifications
and location.
Keywords: Santander, New York , VP-Regulatory Compliance Officer-CIB, Other , New York, New York
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