Regulatory and Corporate Compliance Officer

Intesa Sanpaolo Group

• $130K — $160K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • 5-10 years experience in compliance roles within international banks
  • 5 years in Compliance, Legal, Risk Management, or Controls Testing
  • Strong understanding of U.S. regulatory requirements
  • Bachelor's degree required; Master's preferred
  • Certifications in regulatory compliance or ethical leadership preferred
  • Ability to work effectively in a complex international organization

Responsibilities

  • Manage Watch and Restricted List processes and staff registration
  • Provide guidance on WRL and wall-crossing, resolving issues
  • Coordinate with business units on complex WRL scenarios
  • Review and approve deal closures and wall-crossing requests
  • Monitor compliance training completion and escalate breaches
  • Perform e-communications surveillance to identify risks
  • Administer compliance platform and manage reporting

Benefits

  • Comprehensive compliance training and development programs
  • Supportive work environment in a leading European banking institution
  • Opportunity to work on diverse compliance projects and regulatory reviews
  • Exposure to international compliance practices and standards
Full Job Description
Overview

You will report to the Local Head of Regulatory and Corporate Compliance within the New York Branch Compliance Function of Intesa Sanpaolo, one of the largest banking groups in Europe. You will be responsible for carrying out RCC activities, including maintaining the Watch and Restricted List, reviewing bank transactions and employee trading data for conflicts of interest, monitoring employee communications, and mandatory compliance training completion, and conducting testing for compliance with various bank policies and regulations. The role also provides compliance advisory support on various topics and related projects, as needed.

What you'll be doing

Key responsibilities include:
  • Manage WRL processes, including deal/transaction and staff registration in the WRL platform
  • Provide timely guidance on WRL and wall-crossing, liaising with HO Compliance and resolving issues effectively
  • Coordinate with business units and HO on complex WRL scenarios
  • Review and approve deal closures and wall-crossing requests
  • Ensure compliance with WRL policies and escalate breaches
  • Perform e-communications and employee trade surveillance, identifying conflicts or risks
  • Monitor compliance training completion
  • Administer the compliance platform (profiles, attestations, reporting, vendor coordination)
  • Provide guidance on personal trading rules
  • Execute monitoring/testing under the RCC Program and track issues
  • Support reporting, audits, regulatory reviews and RCC projects


Who we are looking for

We would be pleased to hear from you if you have:
  • 5-10 years of experience in a similar role within international banks
  • Minimum 5 years of relevant financial industry experience in Compliance, Legal, Risk Management, or Controls Testing with a strong understanding of U.S. regulatory requirements
  • Bachelor's degree required. Master's degree in relevant subject, is preferred
  • Certifications related to regulatory compliance and/or ethical leadership a plus
  • Strong ability to operate effectively within a complex, international organization a plus


What we offer

  • The salary range for this position is 130k $- 160k $


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