Director, Compliance Counsel

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.

• 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