Regulatory & Compliance Lead—Wall-Cross & Trade Surveillance

Intesa Sanpaolo Group; New York (NY); Sur place; USD 130 000 - 160 000; Plein temps

Avantages offerts par ce poste

Salary range 130k-160k USD

Résumé du poste

Intesa Sanpaolo in New York is seeking a Regulatory and Corporate Compliance Officer to lead RCC activities within the Local Branch Compliance Function. You will monitor WRL processes, review transactions, and provide regulatory advisory support across projects.

You will collaborate with HO Compliance, manage employee trading surveillance, and ensure training completion while maintaining strict adherence to U.S. banking regulations in a large international organization.

Qualifications

• 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 preferred.
• Certifications related to regulatory compliance and/or ethical leadership a plus.
• Strong ability to operate effectively within a complex, international organization a plus.

Responsabilités

• 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 elevate 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.

Connaissances

Regulatory compliance

Ethical leadership

Formation

Bachelor's degree

Master's degree

Description du poste

Intesa Sanpaolo in New York is seeking a Regulatory and Corporate Compliance Officer to lead RCC activities within the Local Branch Compliance Function. You will monitor WRL processes, review transactions, and provide regulatory advisory support across projects.

You will collaborate with HO Compliance, manage employee trading surveillance, and ensure training completion while maintaining strict adherence to U.S. banking regulations in a large international organization.