- Banking client seeking Compliance Counsel to report to CCO
- 5 day a week in person role in Midtown Manhattan
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 does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. 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
What's on Offer - Competitive base salary
- Bonus
Contact Jennifer Pettigrew Quote job ref JN-082###-####230