Private Wealth Management - Banking & Lending Compliance Officer

  • Base salary, bonus and excellent benefits
  • New York, NY, États-Unis
  • CDI, Plein-temps
  • The Forum Group
  • 11 déc. 17 2017-12-11

Our client is a prestigious global Bank based in New York City looking to add to it's first in class Compliance program at an AVP or VP level.

Banking & Lending Compliance Officer – Private Bank


Wealth Management US is seeking a compliance professional with a minimum of 10 years relevant experience.  Position is located in New York.


The qualified candidate will help build and maintain a strong compliance culture/environment. His/her responsibilities will include, but are not limited to, the following:


  • Advising and consulting business/product management on bank consumer protection relevant laws, regulations, and firm policies and procedures;
  • Working with the business in the implementation of regulatory reform/rule change initiatives impacting the wealth management business;
  • Reviewing new products, marketing materials and other forms of communications for regulatory compliance and adherence to the firm standards;
  • Conducting compliance risk assessments and compliance targeted reviews
  • Conducting second level monitoring and testing of lending and deposit program activity
  • Working closely with other control groups such as legal, risk management, and audit and business supervisory functions to ensure coverage is comprehensive and consistent and that issues are appropriately addressed on a timely basis;
  • Assisting with the content, implementation and delivery of compliance training.


The qualified candidate will have excellent written and verbal communication skills; a strong work ethic and a passion for high performance; strong presentation skills, self-motivation; high energy; excellent interpersonal skills; proficiency with PC applications and aptitude for learning a variety of systems; the highest standards of integrity and ethical judgment; and a minimum of 10 years relevant compliance experience preferably in the wealth management division of a national or global financial services firm.

Candidate must possess strong knowledge of applicable FED and CFPB regulations including, but not limited to, ECOA, HMDA, TILA, RESPA, SAFE Act, Funds Availability Act, Truth-in-Saving Act and other consumer banking/lending regulations including Regulations E, W, O, P;





Additional qualifications include:

  • Bachelors degree or higher in related field of study;
  • Certified Regulatory Compliance Manager (CRCM) designation is a plus;
  • Solid working knowledge of private banking/wealth management products and services;
  • Ability to work effectively with business management and staff and provide pro-active advice;
  • Ability to engage others in open, honest dialogue and directly addresses conflict when it arises.