Deputy Compliance Officer

2 weeks ago

New York, United States cesna Full time
Job DescriptionJob Description

Job Summary: We are seeking an experienced and dedicated Deputy Compliance Officer to join our team. The successful candidate will report directly to the Chief Compliance Officer (CCO) and will be responsible for assisting in the development, implementation, and maintenance of our compliance program. The Deputy Compliance Officer will also play a key role in ensuring that our company operates in compliance with all applicable laws, regulations, and policies.

Job Description:

  1. Policy Development and Implementation:

    • Assist the CCO in developing and implementing compliance policies and procedures that align with regulatory requirements and the company's business objectives.
    • Oversee the development and implementation of the company’s compliance governance framework, including policies, procedures, and internal controls.
    • Ensure that compliance policies are communicated effectively to all employees.

  2. Compliance Program Management:

    • Monitor and assess the effectiveness of the company's compliance program and recommend improvements as necessary.
    • Manage the Corporate Compliance program; monitor, assess, and report on the effectiveness of the branch’s corporate compliance program.
    • Identify and assess compliance risks and recommend necessary improvements.

  3. Training and Awareness:

    • Ensure that the company's employees are aware of and trained on compliance policies and procedures.
    • Develop and deliver training programs to educate staff on compliance requirements and best practices.

  4. Risk Assessment and Management:

    • Work closely with business lines to identify and assess compliance risks associated with new products, services, or activities.
    • Conduct periodic compliance assessments and audits to identify potential areas of non-compliance and recommend corrective actions.

  5. Issue Investigation and Resolution:

    • Investigate and resolve compliance-related issues and escalate issues to the CCO when necessary.
    • Conduct second-level alert release from the Sanction Screening system when required.
    • Manage the quality assurance program and ensure remediation of identified issues.

  6. Regulatory Reporting and Filings:

    • Prepare and submit regulatory filings, reports, and disclosures as required by applicable laws and regulations.
    • Ensure timely and accurate reporting to regulatory authorities.

  7. Guidance and Support:

    • Provide guidance to bank management on matters of compliance and regulation.
    • Keep abreast of regulatory changes and industry developments and assess their impact on the company's compliance program.

  8. Team Management:

    • Manage and mentor the compliance team to ensure high levels of performance and engagement.
    • Assist with any ad-hoc projects as assigned by the CCO and General Manager.

Qualifications:

  • Bachelor’s degree in finance, accounting, business administration, or a related field.
  • At least 7 years of experience in compliance, risk management, or a related field in the financial services industry.
  • Bilingual proficiency in Korean and English is required.
  • In-depth knowledge of relevant laws and regulations, such as the Bank Secrecy Act, Anti-Money Laundering regulations, and the Patriot Act.
  • Strong analytical skills and attention to detail.
  • Excellent written and verbal communication skills.
  • Ability to work independently and in a team-oriented environment.
  • Ability to manage multiple projects and priorities in a fast-paced and dynamic environment.
  • Proficient in Microsoft Office and other relevant software programs.
  • Relevant professional certifications, such as Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM), are a plus.

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