VP/Director Business Unit Compliance (Corporate Finance)
Location: New York
Description: CIT is employing VP/Director Business Unit Compliance (Corporate Finance) right now, this vacancy will be placed in New York. For complete informations about this vacancy opportunity kindly see the descriptions. Facilitate Compliance requirements with the Corporate Finance Business Unit
PRINCIPAL ACCOUNTABILITIES
Creation and socialization Annual Compliance Plan with the business as well as track and report on the progress of the plan
Participate in Business Unit Senior Leadership Meetings and AML, Privacy and FCPA Working Groups and conduct a Monthly Business Unit Compliance Meeting.
Complete annual Risk Assessment with the input of the Business Unit as well as identify risk deficiencies and track remediation, a! ssist the business with bi-annual Control assurance process
Assist the training function in creating Corporate Finance compliance training as well as follow up to ensure that employees complete their training. Conduct business unit specific training as needed.
AML Representative for the Business Unit, ensure Business Line Procedures are implemented in line with AML Policies, Assist the FIU team as needed in facilitating potential suspicious activity investigations, defining potential red flags and resolving questions. Assist the Business and OFAC team in resolving any questions regarding Sanctions and PEPs.
Advise business unit on AML issues and concerns and ensure business unit receives appropriate AML training including supplemental procedural and other training as needed. Lead the AML Risk Assessment for the business unit.
Serve as privacy representative for the business unit and ensure progress with the Com! pliance Plan, ensure business unit procedures are implemented in line with privacy policies using a risk-based approach. Ensure adequate processes for identity theft/red flags, information sharing (e.g., affiliate, external 3rd parties), marketing (e.g., CAN-SPAM, JFPA, etc.), information classification, and clean desk are in place and documented in accordance with privacy policies, procedures, and guidelines.
Serve as FCPA representative for the Business Unit. Ensure business unit receives appropriate FCPA training including supplemental procedural and other training, as appropriate.
Manage a Compliance Officer who supports a Registered Broker/Dealer and Investment Advisor that are within the Corporate Finance Business Units.
JOB REQUIREMENTS
Education
Bachelor's Degree required, JD helpful
Series 7 and 24
Experience
7 plus years Corporate Finance Compliance Related Experience
Experience as a Fixed Income Officer! or Control Room Compliance Officer desirable
Experience managing F! INRA examinations
COMPETENCIES
Strong oral and written communication skills
Ability to drive change efficiently and collaboratively across an organization
CIT is an Equal Opportunity Employer
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If you were eligible to this vacancy, please email us your resume, with salary requirements and a resume to CIT.
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This vacancy starts available on: Thu, 28 Nov 2013 18:25:16 GMT
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