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Bank Regulatory Compiance Lead

  • Location

    New York, NY -- Boston, MA -- Dallas, TX -- Charlotte, NC

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $180,000 - 200,000

  • Contact:

    Connor Dueñas

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 1 month ago

  • Expiry date:


  • Startdate:


We have partnered with one of the largest investment management firms in the world to find a Bank Regulatory Compliance Leader to build out their growing team. 

What you'll be doing:

  • Establishing and maintaining an inventory of activities across the enterprise that have a banking nexus, providing a holistic and cross-enterprise view
  • Providing compliance risk management support to bank-regulated legal entities, including OCC- and state-chartered trust companies
  • Serving as a compliance subject matter expert with respect to products and services traditionally offered through bank-regulated entities (mortgages, lending, payments, credit cards)
  • Providing subject matter expertise on bank regulatory topics and monitoring for changes in applicable requirements and guidance
  • Monitoring adherence to restrictions associated with investments in bank-regulated entities
  • Supporting the evaluation of new products, services and activities that have a potential banking nexus, identifying and leading the buildout of compliance processes
  • Supporting periodic assessments against guidance issued by FSOC around the designation of non-banks as a systematically important financial institution (SIFI)

What they're looking for:

  • Strong background in bank regulatory compliance, including knowledge of FRB and OCC rules and guidance, with an ability to translate standards to concrete situations; experience working at a federal banking regulator preferred
  • Experience developing, implementing, and/or managing compliance activities across large, complex financial services organizations subject to multiple regulatory frameworks
  • A track record of successfully operating across diverse business units, driving change, and influencing stakeholders to enhance awareness of applicable regulations and strengthen risk management processes
  • 15+ years of compliance or related experience at a financial institution, regulatory agency, law firm, or major consulting firm
  • Executive-level presence, with the communication and organizational skills to effectively influence firm leadership on prudent courses of action
  • Ability to communicate fluently and persuasively, with strong writing skills
  • Skill at building relationships and navigating readily across large, complex organizations
  • Savvy strategic thinker who drives innovative regulatory and technology solutions
  • Collaborates through a proactive/constructive dialogue with senior management, peer leaders, clients, audit committees, and regulators
  • High-energy, positive, and entrepreneurial in spirit, while goal-oriented and results-driven
  • An impactful communicator who is direct, plain-spoken, and “tells it like it is” with a genuine/authentic demeanor while enabling candid debate; knows when and how to escalate problems
  • Unassailable integrity with the strength of character to express opinions and challenge the status quo

For more information contact Connor Duenas at Hamlyn Williams at