Compliance Officer - Governance & Framework

Job Overview

New York
Job Type
Full Time
Date Posted
2 months ago

Job Description

Our Client, a leading Corporate & Investment Banking Company is currently looking for a Compliance Officer - Governance & Framework Consultant to join their team in New York, NY (Hybrid).

If the opportunity interests you, please send your resume and contact details to

Reporting directly to the Head of Transversal Compliance, the Compliance Officer Governance and Framework is tasked with designing and implementing the US Compliance Governance Framework. This encompasses maintaining charter updates and overseeing Compliance operating and management Committees. The role involves generating and maintaining reporting materials and conducting analyses for various Committees. Effective coordination and proactive engagement with different groups and divisions within the Combined U.S. Operations (CUSO) entity are essential.

General Responsibilities:
Act as the Secretary of the Committees managed by US Compliance, including:
Compliance Management Committee
Complex and Sensitive Transaction Committee
New Activity Product Committee
Additional Committees as required
Oversee the New Activity Product (NAP) process and the Complex and Sensitive Transaction (CST) process.
Act as the primary point of contact for CST and NAP inquiries in the US.
Annually update the Compliance Framework document and Governance-owned Policies and Procedures, including associated Training materials.
Support the management of strategic and regulatory projects.
Manage follow-up actions pertaining to Committees, Internal Audit, Regulatory Issues, NAP, and CST.
Coordinate routine Management Information System (MIS) reporting with the Compliance Reporting Officer.

Other Responsibilities:
Assist the US Head of Transversal Compliance in implementing existing and new initiatives.

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