Job Description


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Compliance Assistant Vice President

  • Ref: 286889
  • Type: Direct Hire
  • Location: New York, NY
  • Industry: Financial Services
  • Job Level: Vice President
  • Pay: $110.00 - $120.00/hr. plus Bonus

Opportunity Description

We are currently seeking an AVP of Compliance Monitoring and Surveillance for a leading financial services firm in New York, New York. 

Job Duties

  • Serves as departmental resource in developing enterprise-wide compliance training materials, attendance records, tracking, reporting and maintenance of the NY Branch training program.
  • Coordinate and appropriately manage the Branch data operations guided by best practices derived from global data privacy and data protection laws, regulations, and compliance requirements related to the treatment and handling of protected information.
  • Aid in the development, implementation, and maintenance of Code of Ethics and Compliance Policies and processes.
  • Conducts an independent monitoring program and testing of key Markets controls (including Volcker Rule and FX) and provide regular reports on the risk based conduct and anti-fraud reviews.
  • Manage the complaint management program and policies at the Branch level and ensure adequate tracking, categorizing and reporting of complaints.
  • Compliance Governance including: Prepare policies, procedures,  periodic compliance KRI/KPI reports, committee materials and compliance presentations to Senior Management and Head Office.


  • Bachelor's Degree or an advanced degree from a 4-year college or university (in a related curriculum).

Experience & Skills Required

  • 5+ years of work experience in training and testing on banking regulations and in-depth knowledge of Banking and/or Trust/Custody Banking.
  • Bank Compliance Training – Knowledge and experience 
  • Excellent Communication Skills – Oral and written
  • Meticulous Writer
  • Knowledge of Legal research tools, Risk Management eGRC Software, IBM Open Pages, Surveillance Systems
  • Proficiency in Microsoft Windows, Word, Excel, Outlook, Access, Power Point and Internet Explorer