VP- Bank Regulatory Compliance Officer

VP- Bank Regulatory Compliance Officer

Country: United States of America

USA Job Family Description: Vice President, Bank Regulatory Compliance Advisory (Corporate and Investment Bank) provides real-time compliance advisory support to the CIB New York Branch business which focuses on investment banking advisory engagements and lending services. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Responsibilities include advising on rules, regulations, issues related to banking activities, surveillance, controls, supervision, policies, procedures, and general compliance matters.

USA Job Function Description: Vice President, Bank Regulatory Compliance Advisory (Corporate and Investment Bank) provides real-time compliance advisory support to the CIB New York Branch business which focuses on investment banking advisory engagements and lending services. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Responsibilities include advising on rules, regulations, issues related to banking activities, surveillance, controls, supervision, policies, procedures, and general compliance matters.

Essential Functions/Responsibility Statements:

Provide real-time advisory support to, and oversight of, the U.S. Global Banking coverage business including M&A, Leveraged Finance, Lending, Structuring, execution, and syndication of securities.

Provide advice on issues related to banking regulations.

Developing relationships with key stakeholders within the Bank e.g., Legal, Risk, First Line Control teams, building credibility for the Compliance function and enhancing the Compliance brand more widely.

Work collaboratively with the Global and US Compliance teams where necessary to ensure a consistent and common approach with respect to SCIB and Santander US policies and procedures.

Assist with the drafting and delivery of policies, procedures, standards, trainings and Compliance advisories.

On-going identification of Risks, including but not limited to regulatory and conduct, and participation in annual Risk Assessments.

Monitor regulatory changes, participate in industry associations, and advise in implementation efforts.

Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.

Assist with regulatory examinations and inquiries, internal audits, and compliance testing.

Maintain close working knowledge of all applicable industry rules and regulations and work directly with senior leadership in policy making decisions.

Prepare reports for top management and assist in preparation of management information reporting and governance materials.

Make timely regulatory filings and certifications.

Qualifications:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Education:

Bachelor's Degree or equivalent; JD or MBA a plus

Relevant experience of securities preferably in a global investment bank or law firm. Similar experience regulator will also be considered.

Work Experience:
5+ years financial industry experience within a U.S. regulated financial institution, specific work experience with federal and state banking regulations.

Skills and Abilities:

Experience in providing regulatory or compliance advice in connection with investment banking advisory engagements and transactions.

Knowledge of banking regulations such as Reg W, Flood insurance, Legal Lending Limits and Discount Window, as well as industry best practices.

Ability to prioritize and manage multiple tasks in a high-pressure environment.

Strong critical thinking and analysis skills, verbal and written communications skills, and project management skills.

EEO Statement:  At Santander, we value and respect differences in our workforce.  We actively encourage everyone to apply.   

Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law.

Working Conditions: Frequent Minimal physical effort such as sitting, standing and walking. Occassional moving and lifting equipment and furniture is required to support onsite and offsite meet