Compliance jobs in United States

Compliance plays a critical role in the successful execution of the firm's compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by identifying and interpreting relevant regulatory rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit programs to identify, measure, and monitor compliance with applicable laws, regulations, and functions. They provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance control environment. The London Branch Compliance team, along with other Compliance colleagues, is responsible for overseeing the consistent implementation of Global policies and practices while ensuring regional and country nuances are adopted to account for local law and regulation.

As a Compliance Risk Management Lead – Vice President within the Compliance team, you will primarily focus on providing Compliance coverage of the PMoD programme across the International Private Bank (EMEA and APAC). You will join a dynamic team of Compliance professionals, fostering positive stakeholder engagement and promoting a strong operational risk management culture to ensure the effective implementation of the Firm’s Compliance, Conduct, and Operational Risk Management Framework.

Job Responsibilities

• Represent Compliance within the PMoD program, assessing the compliance and regulatory risk impact of key business changes, influencing risk-based decisions, challenging the proposed control environment, and providing recommendations on Compliance policies;
• Identify the need for and coordinate Compliance reviews of PMoD-driven business and operating model changes to determine impacts across various Compliance Subject Matter Experts;
• Partner with Regional and Global Compliance functions to ensure consistency and leverage best practices for the Private Banking line of business;
• Provide advice on the application of UK (including FCA), EEA (including MiFID II), and coordinate with APAC regulators (Monetary Authority of Singapore and Hong Kong Monetary Authority) regarding business and operating model changes due to PMoD;
• Conduct discovery reviews of emerging risks from PMoD, document outcomes, and share results with stakeholders;
• Contribute to the performance of compliance risk assessments, testing, monitoring programs, and regulatory reviews, coordinating within legal entities as necessary;
• Engage with global risk programs (e.g., Cross Border and Data Risk Management) to ensure business practices align with firmwide changes, define monitoring and testing activities, and participate in regional and global risk assessment programs;
• Prepare materials for regional and global forums to promote awareness of Compliance activities and support regulatory submissions, taking necessary actions (e.g., OCC, ECB, BaFIN, FCA, PRA, HKMA, MAS).

Required qualifications, capabilities, and skills

• Extensive experience in compliance or regulatory risk management within large, complex banking programs;
• Strong knowledge of financial services regulation, especially EU and UK regulations (e.g., CRD IV, MiFID, MiFIR, Consumer Duty, COBS, Payment Services) and their impact on Private Banking products and services;
• Experience dealing with European or global regulators or working within a relevant regulatory authority;
• Ability to manage multiple projects efficiently, prioritize tasks, work under pressure, and meet deadlines;
• Proficiency in multitasking, prioritization, and thriving in a fast-paced, evolving environment;
• Deep understanding of PB products and services, including FX, securities, banking products, derivatives, structured products, investment funds, brokerage, investment management, and payment services;
• Consistent delivery of high-quality results in compliance programs;
• Strong interpersonal, negotiation, and influencing skills;
• Self-motivated with a keen interest in financial markets and regulation.

Preferred qualifications, capabilities, and skills

• High-level understanding of key APAC financial services regulations;
• Proficiency in English, with German or French language skills preferred.