VP, Senior Compliance Officer

We are currently partnering with a leading financial services firm to support their search for a VP, Senior Compliance Officer to join their Compliance team. This is a hybrid role based in NYC and provides oversight for the firm’s Private Bank (PB) Americas operations, serving as the senior business line compliance officer and ensuring adherence to applicable banking and broker-dealer regulations. The position offers broad exposure to multiple lines of business and an opportunity to strengthen and enhance the firm’s compliance programs.

The Senior Compliance Officer will provide hands-on compliance support, advising PB’s Structured and Residential Lending businesses on applicable state and federal laws, regulations, and firm policies. This individual will coordinate regulatory initiatives, conduct compliance risk assessments and targeted reviews, and monitor business activities to ensure alignment with regulatory and internal standards. Additional responsibilities include reviewing new products and marketing materials, supporting regulatory examinations and inquiries, assisting with compliance training, and managing direct reports within the Jacksonville office.

This role will also serve as a key point of contact for the Miami and Jacksonville offices, provide leadership on the PB Customer Complaints process, and partner closely with Legal, Divisional Control, Audit, and business supervisory teams to ensure consistent and comprehensive coverage.

Overview:

• Provide guidance and consultation to PB’s Structured and Residential Lending businesses on applicable state and federal laws, regulations, firm policies, and procedures, including conducting legal research as needed.
• Coordinate and support regulatory reform initiatives, perform compliance risk assessments and targeted reviews, and monitor business activities to ensure adherence to key regulations.
• Review new products, marketing materials, and other communications to ensure compliance with regulatory requirements and firm standards.
• Support regulatory examinations and inquiries by managing requests, preparing responses, and ensuring timely resolution of issues.
• Assist in developing, implementing, and delivering compliance training, while collaborating with Legal, Divisional Control, Audit, and business supervisory teams to ensure consistent coverage.