VP - Employee Compliance, Central Compliance Team CIB

The Role

The VP, Employee Compliance is responsible for administering the Firm's Employee Compliance Program with a primary focus on Personal Securities Trading ("PST"), Personal Account Dealing ("PAD"), employee brokerage account monitoring, conflicts of interest, and compliance with applicable regulatory requirements and Firm policies.

Responsibilities

• Administer the Firm's Personal Securities Trading and Personal Account Dealing program.
• Review and approve employee personal trading requests, personal account disclosure in accordance with Firm policies and regulatory requirements.
• Maintain employee account inventories and ensure required account certifications and attestations are completed.
• Support monitoring of outside business activities, private investments, and other employee investment activities requiring review or approval.
• Interpret and apply applicable regulatory requirements, including SEC, FINRA, broker-dealer, investment adviser, and Firm-specific obligations.
• Support compliance risk assessments and regulatory change management initiatives.
• Perform reviews and exception analysis related to employee trading and conduct.
• Conduct investigations of potential policy violations and prepare findings, recommendations, and escalation materials.
• Identify trends, emerging risks, and opportunities to enhance monitoring controls.
• Advise management on current issues regarding banking.
• Lead and influence cross-functional enterprise projects or compliance teams.
• Provide compliance input on business action plans, projects, or operational requests.
• Provide insight and guide management on issues.
• Ensure proper implementation of business requirements and identify outstanding compliance issues.

Requirements

• 5+ Years Compliance, Legal, Regulatory, or Financial Services.
• Experience with employee compliance platforms such as StarCompliance, MCO (MyComplianceOffice), Schwab Compliance Technologies, or similar systems.
• FINRA registrations (Series 7, 79, or similar) preferred or willingness to obtain.
• Demonstrated experience administering personal securities trading or employee compliance programs.
• Strong understanding of FINRA, SEC, and broker-dealer regulatory requirements.
• Experience managing complex investigations and regulatory matters.
• Advanced knowledge of regulatory compliance, relevant industry regulations and regulatory data sources.
• Demonstrated experience facilitating change to achieve measurable results.
• Demonstrated subject matter expertise compliance opportunities and resolution.
• Experience working with surveillance and monitoring tools.
• Strong analytical, investigative, and critical thinking skills.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities in a fast-paced regulatory environment.
• Ability to be adept in identifying and resolving complex risk management problems.
• Ability to build and foster internal and external relationships.
• Ability to analyze risk and design efficient control practices to minimize risk.
• Ability to lead, influence and direct peers, subordinates and management.
• Ability to make effective decision making on complex matters.
• Ability to convey a sense or urgency and drive.
• Ability to multi-task and meet strict deadlines.
• Ability to adjust to new developments/changing circumstances.
• Ability to interact with senior level management; experience interfacing with multiple levels of the organizational structure.
• Self-directed, self-motivated and demonstrated experience providing ideas and solutions to further business understanding.

Qualifications

• Bachelor’s Degree: in related field or equivalent demonstrated through a combination of work experience, training, military service, or education - Required
• Master's Degree: in related field or equivalent demonstrated through a combination of work experience, training, military service, or education - Preferred