Compliance Risk Assessment Officer

ComplianceComplianceFull TimeRemoteLeadTeam 1,001-5,000Since 2003H1B SponsorCompany SiteLinkedIn

Location

New York

Posted

17 days ago

Salary

$120K - $160K / year

Seniority

Lead

Bachelor Degree8 yrs expEnglish

Job Description

• Lead the annual Compliance Risk Assessment across Capital Markets and support teams, following the bank’s internal methodology • Identify and document compliance risks, assess the strength of existing controls, and highlight areas for improvement • Support regulatory gap analyses and track remediation efforts to ensure alignment with applicable laws, regulations, and internal policies • Collaborate with Compliance, Legal, Audit, and business stakeholders to gather information and validate findings • Prepare concise reports, summaries, and presentations for senior management • Support and track ongoing risk and compliance projects, ensuring timely delivery of objectives

Job Requirements

  • Minimum 8 years of experience in Compliance, Risk Management, Audit, or Business Management within investment banking or capital markets
  • Strong experience identifying and documenting compliance risks and evaluating control frameworks
  • Solid understanding of capital markets products and corporate financing activities
  • Experience managing or supporting structured projects with defined timelines and deliverables
  • Strong analytical and problem-solving skills, with meticulous attention to detail
  • Ability to work independently while collaborating effectively with cross-functional teams
  • Excellent communication skills, including experience presenting to senior stakeholders

Benefits

  • 401(k) retirement plan with company matching
  • 15 days of paid vacation per year at hire and up to 27 according to seniority (annual untaken vacation days are cashed out)
  • 8 paid holidays + 5 sick days + 2 personal days per year
  • Company health, dental, and vision insurance plans + FSA
  • Voluntary STD and LTD
  • Commuter/transit benefits

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