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Published: May 23, 2018
New York, NY
Job Type
Financial Services
Job ID


General Counsel and Chief Compliance Officer

Our client, a global bank with a branch in New York City has an opening for a dual role as a General Counsel and Chief Compliance Officer. This role will initially be 2-3 days per week with the expectation to lead to full-time in 1-2 years. This role will be responsible for developing and administering the legal function, and the compliance program at the branch. The candidate will provide legal and compliance advice to the Head Office, the NY Management team, and staff. The ideal candidate will have a minimum of 8 years in a legal counsel and compliance function within banking and have experience interfacing with external counsel.

Responsibilities of a General Counsel and Chief Compliance Officer:

  • Advise and provide counsel support to the local office and Head Office on all legal and regulatory issues
  • Draft, and review documentation that include loan agreements, repos, and various other contracts
  • Draft and review Regulatory Filings upon request
  • Provide advice to senior management on compliance laws, rules and standards, and staying knowledgeable on any new developments in the area
  • Educate and provide guidance to staff on all compliance related issues, and be the point of contact within the branch for compliance questions from staff
  • Establish written guidelines internally related to any changes in compliance laws and regulations
  • Identify, measure and assess compliance risk associated with the bank’s business
  • Monitor, test, and report on compliance matters to senior management
  • BSA, and AML Compliance Officer and liaise with appropriate regulators
  • Develop, administer and revise the compliance program, and conduct compliance risk assessment
  • Participate in responding to regulator examinations
  • Oversee the work of outside counsel
  • Manage and direct junior legal, and compliance staff

Job Requirements for a General Counsel and Chief Compliance Officer:

  • 8+ years’ experience in a senior Counsel/Attorney role within banking or a corporate setting
  • 5+ years of experience overseeing the Compliance function
  • Effective communication and relationship building skills
  • Experience dealing with NY State Regulators
  • Strong knowledge of banking operations, laws and regulations
  • Juris Doctorate and Admittance to New York Bar is required

General Counsel / Chief Compliance Officer / Attorney / Senior Counsel / Banking Counsel

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