Compliance Associate

Overview

A global banking organization is seeking an Assistant Vice President, Corporate Compliance to join its U.S. Compliance team in New York. This role will support the administration and oversight of the firm’s Corporate Compliance Program across both banking and broker-dealer activities.

The position offers broad exposure across regulatory compliance, governance, training initiatives, and regulatory engagement, working closely with business and compliance stakeholders across the organization.

• Support the implementation and ongoing administration of the Corporate Compliance Program.
• Assist with regulatory change monitoring and analysis of new and emerging banking regulations.
• Contribute to compliance risk assessments, gap analyses, and program reviews to ensure an effective control framework.
• Assist with the development, review, and enhancement of compliance policies and procedures.
• Prepare governance materials, including compliance reporting, committee packs, and management reporting.
• Support responses to regulatory examinations, inquiries, and internal investigations.
• Monitor and review conflicts of interest, gifts & entertainment, charitable donations, and personal dealing disclosures.
• Assist with cross-border regulatory compliance reviews related to client activity and employee travel.
• Support the design and maintenance of the compliance training program, including reviewing materials and assisting with training delivery.
• Draft compliance communications and guidance for internal business stakeholders.
• Partner with business teams to provide compliance advisory support on regulatory requirements.

• 3+ years of experience within regulatory or corporate compliance at a bank, broker-dealer, or financial institution.
• Familiarity with U.S. banking regulations and regulatory expectations (e.g., Federal Reserve, NYSDFS, or similar regulators).
• Experience supporting regulatory exams, compliance monitoring, or compliance program initiatives.
• Strong understanding of compliance governance frameworks and risk management practices.
• Ability to work cross-functionally with business, legal, and compliance teams.
• Strong written communication and analytical skills.