VP- Bank Regulatory Compliance Officer

Vice President, Bank Regulatory Compliance Advisory (Corporate and Investment Bank) provides real-time compliance advisory support to the CIB New York Branch business which focuses on investment banking advisory engagements and lending services. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Responsibilities include advising on rules, regulations, issues related to banking activities, surveillance, controls, supervision, policies, procedures, and general compliance matters. Essential Functions/Responsibility Statements: Provide real-time advisory support to, and oversight of, the U.S. Global Banking coverage business including M&A, Leveraged Finance, Lending, Structuring, execution, and syndication of securities. Provide advice on issues related to banking regulations. Developing relationships with key stakeholders within the Bank e.g., Legal, Risk, First Line Control teams, building credibility for the Compliance function and enhancing the Compliance brand more widely. Work collaboratively with the Global and US Compliance teams where necessary to ensure a consistent and common approach with respect to SCIB and Santander US policies and procedures. Assist with the drafting and delivery of policies, procedures, standards, trainings and Compliance advisories. On-going identification of Risks, including but not limited to regulatory and conduct, and participation in annual Risk Assessments. Monitor regulatory changes, participate in industry associations, and advise in implementation efforts. Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections. Assist with regulatory examinations and inquiries, internal audits, and compliance testing. Maintain close working knowledge of all applicable industry rules and regulations and work directly with senior leadership in policy making decisions. Prepare reports for top management and assist in preparation of management information reporting and governance materials. Make timely regulatory filings and certifications.