Regulatory and Corporate Compliance Officer
Intesa Sanpaolo · New York, United States · 3h ago
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Overview
You will report to the Local Head of Regulatory and Corporate Compliance within the New York Branch Compliance Function of Intesa Sanpaolo, one of the largest banking groups in Europe. You will be responsible for carrying out RCC activities, including maintaining the Watch and Restricted List, reviewing bank transactions and employee trading data for conflicts of interest, monitoring employee communications, and mandatory compliance training completion, and conducting testing for compliance with various bank policies and regulations. The role also provides compliance advisory support on various topics and related projects, as needed.
What you'll be doing
Key responsibilities include:
- Manage WRL processes, including deal/transaction and staff registration in the WRL platform
- Provide timely guidance on WRL and wall-crossing, liaising with HO Compliance and resolving issues effectively
- Coordinate with business units and HO on complex WRL scenarios
- Review and approve deal closures and wall-crossing requests
- Ensure compliance with WRL policies and escalate breaches
- Perform e-communications and employee trade surveillance, identifying conflicts or risks
- Monitor compliance training completion
- Administer the compliance platform (profiles, attestations, reporting, vendor coordination)
- Provide guidance on personal trading rules
- Execute monitoring/testing under the RCC Program and track issues
- Support reporting, audits, regulatory reviews and RCC projects
Who we are looking for
We would be pleased to hear from you if you have:
- 5-10 years of experience in a similar role within international banks
- Minimum 5 years of relevant financial industry experience in Compliance, Legal, Risk Management, or Controls Testing with a strong understanding of U.S. regulatory requirements
- Bachelor's degree required. Master’s degree in relevant subject, is preferred
- Certifications related to regulatory compliance and/or ethical leadership a plus
- Strong ability to operate effectively within a complex, international organization a plus
What we offer
- The salary range for this position is 130k $- 160k $
About us
We are the leading banking group in Italy and one of the Top Tier in Europe. Join us and be part of our successful story!
With over 20 million customers in Italy and abroad, we are a true engine of sustainable growth, with a strong commitment to the environment and a tangible impact on society. People are our driving force. We take care of them and foster an inclusive culture where everyone feels valued and empowered.
The Chief Compliance Officer Governance Area oversees compliance with the regulatory framework and with principles of fairness and integrity at Group level, operating independently from business activities. The Area includes the Central Anti Financial Crime Department, which is responsible for anti-money laundering and anti-corruption activities, as well as the Data Protection Officer (DPO) function, which oversees compliance with personal data protection regulations.
Join an international and innovative Group. Don't wait for the future, choose it!
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We guarantee an inclusive and equal environment. We will consider all applicants regardless of race, religion, sexual orientation, gender identity, marital status, national origin, age, disability, or any other protected category in compliance to D.lgs. 198/2006, 215/03 and 216/03.
For the evaluation of the application, the data will be processed by Intesa Sanpaolo S.p.A. as Data Controller. We invite you to review the dedicated Privacy Information Notice for more details.