Compliance, Regulatory Practice Group, Banking, Vice President

Location(s) US-NY-New York
Job ID
Schedule Type
Full Time
Vice President
Business Unit
Regulatory Practice Group
Employment Type




Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. 




The RPG-Banking team is the liaison between the firm and its U.S. banking regulators.  As such, RPG-Banking team members work closely with business, compliance, legal, risk, technology and operations teams throughout the firm.  The new team member will be responsible for advising and helping to prepare senior stakeholders for regulatory meetings and other regulatory engagements; reviewing and editing regulatory responses and presentations; and creating PowerPoint presentations to senior management or regulators. This will involve significant interaction with both the firm's U.S. banking regulators and senior internal stakeholders outside of the RPG-Banking team.


An RPG-Banking Vice President must have the ability to:

  • Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm, in particular, senior stakeholders and regulators
  • Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders
  • Demonstrate strong written and oral communication, as well as analytical abilities
  • Grasp and keep abreast of relevant law, rules and policies
  • Be unfailingly detail-oriented, so as to consistently produce accurate work product
  • Effectively and efficiently conduct business by phone with both internal and external stakeholders
  • Spot and suggest potential corrective actions to address regulatory issues surfaced during the course of regulatory interactions
  • Work independently and exercise strong judgment when executing an assigned task
  • Multi-task and have the ability to manage and advance multiple projects simultaneously
  • Identify and effectively escalate potential issues to appropriate person(s)
  • Meet tight deadlines and comfortably operate in the face of time constraints
  • Persistently follow-up with colleagues to ensure that appropriate information is obtained and timely recorded

Basic Qualifications:

  • Bachelor's degree
  • At least five years of relevant work experience
  • Expertise with Microsoft PowerPoint, Microsoft Word, and Excel
  • Business-level fluency in English, both orally and in writing
  • Excellent time management, analytical and communication skills
  • Integrity, motivation, intellectual curiosity and enthusiasm
  • Familiarity with financial products and markets

Preferred Qualifications:

  • Graduate degree in law, business, or other relevant program
  • Outstanding graduate school and undergraduate credentials
  • Significant experience working on behalf of financial institutions with respect to regulatory or legal matters
  • Strong proficiency in PowerPoint



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