OverviewYou 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 doingKey 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 forWe 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 $
