Regulatory Compliance Lead – Banking & Derivatives ( Hybrid )

Ampcus Inc; New York (NY); Hybrid; USD 110,000 - 140,000; Part time

Job summary

Ampcus Inc. is seeking an experienced Regulatory Compliance Specialist to serve as the independent second-line resource for U.S. banking operations.

You will lead risk assessments, develop plans, and perform compliance testing across SEC and CFTC obligations, including extraterritorial considerations. Ideally, you bring substantial banking or broker-dealer compliance experience and can certify applicable U.S.

Qualifications

• Significant hands-on compliance experience in a U.S. banking or broker-dealer environment.
• Strong knowledge of U.S. regulatory requirements including BSA/AML, OFAC, SEC and CFTC.
• Experience designing and executing second-line compliance testing.
• Ability to operate independently from the first line and challenge external specialists.
• Excellent written English and strong documentation skills.

Responsibilities

• Lead local risk-based compliance planning.
• Conduct local compliance risk assessments.
• Perform independent second-line compliance testing of key controls.
• Prepare quarterly compliance risk reports.
• Certify applicable U.S. regulatory requirements and exemptions for international operations.
• Coordinate with Group Compliance for risk reporting and remediation progress.

Job description

Ampcus Inc. is seeking an experienced Regulatory Compliance Specialist to serve as the independent second-line resource for U.S. banking operations.

You will lead risk assessments, develop plans, and perform compliance testing across SEC and CFTC obligations, including extraterritorial considerations. Ideally, you bring substantial banking or broker-dealer compliance experience and can certify applicable U.S.