Deputy Compliance Officer
Deputy Compliance Officer
Cesna - Recruitment experts worldwide
New York, NY
See who Cesna - Recruitment experts worldwide has hired for this role
Job Description:
- Policy Development and Implementation:
- Assist the CCO in developing and implementing compliance policies and procedures that align with regulatory requirements and the company's business objectives
- Oversee the development and implementation of the company’s compliance governance framework, including policies, procedures, and internal controls
- Ensure that compliance policies are communicated effectively to all employees
- Compliance Program Management:
- Monitor and assess the effectiveness of the company's compliance program and recommend improvements as necessary
- Manage the Corporate Compliance program; monitor, assess, and report on the effectiveness of the branch’s corporate compliance program
- Identify and assess compliance risks and recommend necessary improvements
- Training and Awareness:
- Ensure that the company's employees are aware of and trained on compliance policies and procedures
- Develop and deliver training programs to educate staff on compliance requirements and best practices
- Risk Assessment and Management:
- Work closely with business lines to identify and assess compliance risks associated with new products, services, or activities
- Conduct periodic compliance assessments and audits to identify potential areas of non-compliance and recommend corrective actions
- Issue Investigation and Resolution:
- Investigate and resolve compliance-related issues and escalate issues to the CCO when necessary
- Conduct second-level alert release from the Sanction Screening system when required
- Manage the quality assurance program and ensure remediation of identified issues
- Regulatory Reporting and Filings:
- Prepare and submit regulatory filings, reports, and disclosures as required by applicable laws and regulations
- Ensure timely and accurate reporting to regulatory authorities
- Guidance and Support:
- Provide guidance to bank management on matters of compliance and regulation
- Keep abreast of regulatory changes and industry developments and assess their impact on the company's compliance program
- Team Management:
- Manage and mentor the compliance team to ensure high levels of performance and engagement
- Assist with any ad-hoc projects as assigned by the CCO and General Manager
- Bachelor’s degree in finance, accounting, business administration, or a related field
- At least 7 years of experience in compliance, risk management, or a related field in the financial services industry
- Bilingual proficiency in Korean and English is required
- In-depth knowledge of relevant laws and regulations, such as the Bank Secrecy Act, Anti-Money Laundering regulations, and the Patriot Act
- Strong analytical skills and attention to detail
- Excellent written and verbal communication skills
- Ability to work independently and in a team-oriented environment
- Ability to manage multiple projects and priorities in a fast-paced and dynamic environment
- Proficient in Microsoft Office and other relevant software programs
- Relevant professional certifications, such as Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM), are a plus
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Seniority level
Mid-Senior level -
Employment type
Full-time -
Job function
Legal -
Industries
Internet Publishing
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