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Deputy Chief Compliance Officer (Senior Vice President)

175k/year - 250k/year
New York City, NY

Total compensation is targeted at $175K - $250K, to be determined on candidate's credentials, experiences and potential value to the department / firm.


Deputy Chief Compliance Officer (Senior Vice President)


Position Overview:

Our client is the American branch of a global, diversified financial institution offering personal, commercial, wholesale, and investment banking services.  They specialize in providing foreign exchange transactions, credit cards, loans, investments, trust funds, mergers and acquisitions, IPO related services, investment banking, wealth management solutions and internet banking services around the world.   


Currently, they are seeking to hire an experienced and dedicated Deputy Chief Compliance Officer to join their team. The successful candidate will report directly to the Chief Compliance Officer and will be responsible for assisting in the development, implementation, and maintenance of the BSA/AML and OFAC, Regulatory Compliance, and Fraud programs. The Deputy Chief Compliance Officer will also play a key role in ensuring that our company operates in compliance with all applicable laws, regulations, and policies.


Responsibilities will include (but not be limited to):

  • Assist the Chief Compliance Officer in developing and implementing compliance policies and procedures that align with regulatory requirements and the company's business objectives.
  • Monitor and assess the effectiveness of the company's compliance program and recommend improvements as necessary.
  • Oversee the development and implementation of the company’s compliance governance framework, including policies, procedures and internal controls.
  • Manage Corporate Compliance program; monitor, assess and report on the effectiveness of the branch’s corporate compliance program, including identifying and assessing compliance risks, and recommend improvements as necessary.
  • Ensure that the company's employees are aware of and trained in compliance policies and procedures.
  • Work closely with the business lines to identify and assess compliance risks associated with new products, services, or activities.
  • Investigate and resolve compliance-related issues and escalate issues to the Chief Compliance Officer when necessary.
  • Conduct periodic compliance assessments and audits to identify potential areas of non-compliance and recommend corrective actions.
  • Provide guidance to bank management on matters of compliance and regulation. 
  • Prepare and submit regulatory filings, reports, and disclosures as required by applicable laws and regulations.
  • Perform second-level alert release from Sanction Screening system, when required.
  • Manage quality assurance program and ensure remediation of identified issues.
  • Manage and mentor the compliance team to ensure high levels of performance and engagement.
  • Keep abreast of regulatory changes and industry developments and assess their impact on the company's compliance program.
  • Assist with any ad-hoc projects as assigned by the CCO and General Manager.



  • Bachelor's degree in finance, accounting, business administration, computer science, or a related field.
  • At least 7 years of experience in compliance, risk management, or a related field in the financial services industry.
  • In-depth knowledge of relevant laws and regulations, such as the Bank Secrecy Act, Anti-Money Laundering regulations, and the Patriot Act.
  • Knowledge and experience with Regulatory Compliance
  • 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.