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Deputy Compliance Officer

Job Title: Deputy Compliance Officer
Our Client: A Global Leading Commercial Bank
Country: United States
Location: New York NY
Specialisation: Banking & Financial Services
Salary: $100,000-$200,000
Job Reference: 5261
Contact Person: Rich CHO Managing Director
Contact Email:
Job Published: 2024-03-26


Deputy Compliance Officer

About Our Client

Our client is a branch of a large Korean financial institution operating in New York City. We specialize in providing wholesale banking and investment banking services.

Job Summary

We are seeking an experienced and dedicated Deputy Chief Compliance Officer to join our team. The successful candidate will report directly to the Chief Compliance Officer and will be responsible for assisting in the development, implementation, and maintenance of our compliance program. The Deputy Chief Compliance Officer will also play a key role in ensuring that our company operates in compliance with all applicable laws, regulations, and policies.

Job Description

  • - Assist the Chief Compliance Officer in developing and implementing compliance policies and
  • procedures that align with regulatory requirements and the company's business objectives.
  • - Monitor and assess the effectiveness of the company's compliance program, and recommend
  • improvements as necessary.
  • - Oversee the development and implementation of the company’s compliance governance framework,
  • including policies, procedures and internal controls.
  • - Manage Corporate Compliance program; monitor, assess and report on the effectiveness of the
  • branch’s corporate compliance program, including identifying and assessing compliance risks, and
  • recommend improvements as necessary.
  • - Ensure that the company's employees are aware of and trained on compliance policies and
  • procedures.
  • - Work closely with the business lines to identify and assess compliance risks associated with new
  • products, services, or activities.
  • - Investigate and resolve compliance-related issues, and escalate issues to the Chief Compliance Officer
  • when necessary.
  • - Conduct periodic compliance assessments and audits to identify potential areas of non-compliance,
  • and recommend corrective actions.
  • - Provide guidance to bank management on matters of compliance and regulation.
  • - Prepare and submit regulatory filings, reports, and disclosures as required by applicable laws and
  • regulations.
  • - Perform second-level alert release from Sanction Screening system, when required.
  • - Manage quality assurance program and ensure remediation of identified issues.
  • - Manage and mentor the compliance team to ensure high levels of performance and engagement.
  • - Keep abreast of regulatory changes and industry developments, and assess their impact on the
  • company's compliance program.
  • - Assist with any ad-hoc projects as assigned by the CCO and General Manager.


  • - Bachelor's degree in finance, accounting, business administration, or a related field.
  • - At least 7 years of experience in compliance, risk management, or a related field in the financial
  • services industry.
  • - In-depth knowledge of relevant laws and regulations, such as the Bank Secrecy Act, Anti-Money '-
  • Laundering regulations, and the Patriot Act.
  • - Knowledge and experience with Regulatory Compliance
  • - Strong analytical skills and attention to detail.
  • - Excellent written and verbal communication skills.
  • - Ability to work independently and in a team-oriented environment.
  • - Ability to manage multiple projects and priorities in a fast-paced and dynamic environment.
  • - Proficient in Microsoft Office and other relevant software programs.
  • Relevant professional certifications, such as Certified Anti-Money Laundering Specialist (CAMS) or
  • Certified Regulatory Compliance Manager (CRCM), are a plus.

What's On Offer

Apply online or feel free to contact us directly for more information about the opportunity. Due to the high volume of applicant, we regret to inform that only shortlisted candidates will be notified. Thank you for your understanding.

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Richard Cho

+1 201 567 8886 Ext.301

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