Connecticut office of a major financial institution seeks a bank regulatory officer with at least 3 years of relevant experience to assist in developing and maintaining compliance policies and programs, as well as implementing the necessary monitoring, training, and controls. Responsibilities will also include developing and maintaining the inventory of bank regulations; self-assessments of policies, procedures, and compliance related to investment bank services and products; advising other departments regarding the application of bank regulations; and responding to regulatory requests. The successful candidate will have experience in advising front and back office staff regarding US bank regulatory matters; managing compliance programs; responding to regulatory requests; and developing corrective action plans. The successful candidate will also understand banking products, funding processes, and the infrastructure of a wholesale financial institution. Knowledge of US banking law and regulations relevant to foreign banks, including Bank Holding Company Act, Regulations Y, P, D, K, U, and W of the Board of Governors of the Federal Reserve, limitations on non-banking activities, and OCC Investment Securities Regulation is also desirable. Law degree and bar admission preferred.
Posted on: Wed, 07 Aug 2013 21:01:11 +0000
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