Category
Regulatory Compliance Specialist
JCW
Walton, NY, USA
In this position you would develop and implement policies and procedures in regulatory compliance. This position would involve legal and regulatory research, policies/procedures coverage, and corporate compliance control.
Duties
- Examine and clarify Branch’s laws, rules and regulations contained (Regulatory Compliance; Client Practice; Business/Market Conduct; Employee Conduct)
- Make corporate compliance related policies and procedures based on Branch’s key business processes, products/services, and regulatory requirements
- Organize periodic corporate compliance policies and procedures annual/periodical updates
- Help develop corporate compliance controls
- Organize the evaluation and approval of employee conduct related matters
Needed
- 4+ years of regulatory and compliance experience obtained from financial institutions
- Commercial/Wholesale/Corporate Banking experience needed
- Regulatory Compliance experience
- Strong written and verbal skills in order to communicate with senior management and staff
