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Commercial Banking - Compliance Manager - Vice President

Job Description

Commercial Banking ("CB") Compliance supports the CB line of business, which includes Corporate Client Banking & Specialized Industries, Middle Market Banking & Specialized Industries, Real Estate Banking, and Product Groups: Credit Markets/Treasury Services/International and Loan Operations.  CB generally serves clients with $10MM - $2B in annual revenue, and also includes specialized industry groups that focus on government, not-for-profit, healthcare, financial institutions, technology, energy, and entertainment.

The CB Compliance group is seeking a Senior Compliance Officer/ Vice President to deliver the regulatory compliance program and plan for the Corporate Client Banking & Specialized Industries (“CCBSI”) segment of CB.  The position is based in Chicago or New York. The ideal candidate should possess strong leadership and managerial skills, as well as team building experience and project management skills.  The Compliance Officer will be responsible for providing guidance to the business on all applicable banking laws and regulations such as, Federal Reserve alpha regulations and OCC rules and regulations.  To provide such guidance, the team works closely with the rest of CB Compliance, CB Legal & Operational Risk Management and Global Compliance. 


·         Advise CCBSI on all compliance topics and applicable regulations.

·         Coordinate Compliance testing and training programs for CCBSI with CB Compliance Practices team.

·         Provide guidance to CCBSI on key banking regulations such as Reg W, Reg O, Reg R and Reg B, as well as, FINRA licensing requirements

·         Assist in regulatory exam management / interactions & Internal Audits with respect to CCBSI.

·         Identify and monitor metrics that support the compliance program to senior management.

·         Act as a liaison for senior business leaders for the CCBSI compliance program.

·         Coordinate with CB Legal, Global Compliance & Operational Risk to implement strong compliance culture. 

·         Develop and deliver ad-hoc live training sessions / programs as an as needed basis for CCBSI employees.


·         Strong decision making and judgment.

·         Ability to work independently and think outside the box.

·         Manage projects effectively and execute in a timely fashion.

·         Effective communication skills, including strong writing and presentation skills as well as the ability to communicate to all levels of the organization.

·         Proficient in Microsoft Word, Excel, and PowerPoint.

·         Bachelor's Degree required.

·         JD, MBA or other professional certification preferred. 

·         Minimum 5 years experience in financial services, compliance, risk, regulatory and/or legal background

·         Strong communication and presentation skills

·         Proficiency with FINRA securities license requirements preferred.

·         Familiarity with the following would be helpful:

o    U.S. and foreign banking regulatory regimes

o    Credit underwriting process


Req #: 160046456
Location: Chicago, IL US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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