Senior Compliance Officer; Vice President, Private Bank Americas

Responsibilities

• You will work in the Compliance Department as a business line compliance officer primarily focused on the Private Bank’s lending activities
• In addition, your responsibilities will involve providing Compliance support, including advising and providing guidance to other Private Bank areas of business of a sophisticated full-service broker/dealer and banking business
• You should understand key banking and broker-dealer regulations, including the relevant current and proposed industry and regulatory developments
• The role will also involve assisting with Compliance projects and ad-hoc requests to further strengthen the Bank’s compliance programs
• You will serve as a senior compliance advisor to Private Bank Lending businesses, providing independent oversight, effective check and challenge, and informed judgment on applicable laws, regulations, firm policies, and procedures
• You will interpret and assess the impact of evolving state and federal regulatory requirements, partnering with Business Risk to support regulatory change initiatives and ensure timely, effective implementation
• You will review and challenge new products, marketing materials, and client communications to ensure regulatory compliance and adherence to firm standards
• You will lead compliance risk assessments, targeted reviews, and ongoing surveillance of business activities, identifying emerging risks and driving remediation with stakeholders
• You will support regulatory examinations and inquiries, including coordinating responses, managing documentation, and engaging with regulators as appropriate
• You will oversee compliance reporting, training content, and execution of strategic compliance initiatives and projects, ensuring consistency, quality, and timely delivery
• You will act as a trusted partner to senior Private Bank business leaders, influencing decision‑making and reinforcing a strong culture of compliance and risk awareness
• You will provide leadership across control functions by working closely with Legal, Audit, Divisional Control, and supervisory teams to ensure comprehensive and consistent compliance coverage
• You will represent the compliance function in regulatory engagements, examinations, and senior‑level discussions, delivering clear, risk‑based perspectives

Proven experience providing compliance, legal, or regulatory advisory support within financial services, including lending, relationship management, or investment management businesses

Bachelor’s degree required, preferably in Finance, Business, or Accounting; JD or MBA strongly preferred

Demonstrated ability to apply sound judgment to complex regulatory issues, supported by strong analytical and problem‑solving skills

Experience supporting regulatory examinations, compliance risk assessments, and targeted reviews within a highly regulated environment

Strong written and verbal communication skills, with the ability to influence senior stakeholders and clearly articulate regulatory expectations

Banking or securities experience, preferably within a global investment bank; prior regulatory agency experience is a strong plus Experience advising a Private Bank, Trust Company, or Wealth Management business on compliance or regulatory matters

Strong working knowledge of U.S. banking laws, rules, and regulations

Experience interacting with regulatory bodies such as the Federal Reserve Bank, Federal Deposit Insurance Corporation, and Outbound Control Centers, particularly during examinations

Proactive, self‑directed leadership style with strong relationship‑building skills and the ability to operate independently