Director, Compliance Counsel
Michael Page New York
About Our Client
Banking institution.
Job Description
The Counsel will join a dynamic Compliance and Legal team, reporting directly to the COO.
Main Responsibilities:
- Serve as the point person for corporate compliance matters, advising internal stakeholders on corporate compliance risk assessment, new product approval processes, compliance monitoring and testing, compliance training
- Spearhead the regulatory change management process
- Advise on conduct risk, review outside business activity requests advising on conflicts of interest, conducting internal investigations and reviews when required
- Manage the firm's corporate compliance program, implementing policies and procedures concerning: anti-bribery, anti-corruption, conflicts of interest, customer interaction, insider and affiliate transactions, personal trading, insider information, outside business activity and gifts and entertainment
- Advise on a wide range of regulatory matters including regulatory rules and special projects, while managing all examinations while working with regulatory agencies
- Respond to regulatory requests for information
MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
The Successful Applicant- JD from top US Law School
- Admitted to NY State Bar
- 4-6 years of experience working at a law firm, in-house at financial services institution, and/or regulatory agency
- Must have experience with corporate compliance (anti-bribery, anti-corruption, corporate gifting, customer interaction, etc.)
- Experience advising on financial services compliance and regulations
- Experience writing policies and procedures surrounding compliance matters
- Experience in counseling/advising business teams
- Competitive base salary
- Bonus
Michael PageNew York
About Our Client
One of the top 10 largest financial services firms in the world.
Job Description
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