VP, Compliance Specialist

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Job Identification Number: 368

Location: New York, NY

Job Type: Direct Hire

Job Category: Financial Services

Qualified candidates, please attach resume when applying.


Seeking a VP Compliance Specialist for a Leading Bank and Financial Services company in New York to help develop compliance efforts for various assigned business units and implement these improvements.

Primary Responsibilities:

  • Analyze existing business legislation and other regulations to ensure compliance with requirements

  • Improve various controls of business units and document changes

  • Contribute to various tasks to improve compliance and enhance control environment

  • Analyze and maintain control process to ensure compliance with all regulations and build relationships with outside regulators and managers

  • Asses effectiveness of controls that ensure ongoing compliance with regulations

  • Prepare risk based reviews of regulatory requirements, concerning issues and control gaps and help prepare time sensitive reports and escalate issues to professionals


  • Bachelor’s degree; Business or Finance preferred and 5+ years’ of total work experience with a financial services, audit, or financial service compliance background

  • Experience with assigned products, services or business lines and relevant laws and regulations