CCO - Head of Regulatory & Corporate Compliance - New York

Intesa Sanpaolo is the banking group leader in Italy, assisting more than 14.6 million retail customers through a network of 5,360 branches. It significantly supports the development of companies and contributes to the country's growth. The Group has a selected retail banking presence in Central and Eastern Europe, the Middle East, and North Africa, with approximately 1,000 branches and 7.2 million customers in 12 countries. Intesa Sanpaolo is also present in 25 countries in support of its corporate customers’ cross-border business.

Scope and Purpose

Responsible for managing the Regulatory and Corporate Compliance ("RCC") function, reporting to the ISPNY CCO. This role includes advising on the New York Branch's business, products, and services, providing subject matter expertise on all relevant regulations, including Dodd-Frank and Volcker Rule related swap dealing activities. The Head of RCC must have a thorough understanding of the ever-changing regulatory environment, implement team training, and maintain policy and procedure.

The role includes:

1. Managing the RCC team and ensuring all functional responsibilities are fulfilled.
2. Providing advisory support on regulatory topics, including Federal Reserve and New York State regulations.
3. Conducting the Corporate Compliance Risk Assessment based on Head Office process and NY Branch methodology.
4. Assisting the ISPNY CCO in managing Regulatory and Corporate Compliance related regulatory examinations and Internal Audits.
5. Operating as ISPNY CCO's delegate for coordination with relevant regulatory authorities.
6. Managing the Branch's non-AML regulatory change management process and maintaining the Branch's Regulatory Inventory.
7. Completing periodic reviews of applicable ISPNY Branch Departments affected by Banking Regulation.
8. Making recommendations and delivering solutions that strengthen compliance design, execution, documentation, assessments, and reporting.
9. Providing oversight to the Regulatory and Corporate Compliance team performing monitoring and testing reviews.
10. Providing support and advice to the front office and other control functions as needed.
11. Assisting the ISPNY CCO in the analysis of new regulations and determining applicability to ISPNY.
12. Developing and managing training for ISPNY Branch staff on regulatory compliance issues.
13. Completing and enforcing applicable procedures in monitoring and updating the ISP global watch and restricted list.
14. Overseeing Conflicts of Interest management.
15. Creating and updating policies, procedures, and desktop manuals as needed.
16. Developing and delivering training and ensuring awareness and education for impacted functions.
17. Other duties as directed by the ISPNY CCO.

The salary range for this job offer is $150,000 - $210,000.

Required Experience

• Minimum Bachelor's degree in finance or related field.
• Post-graduate law degree, e.g., JD strongly preferred.
• Minimum 7 years' experience in banking compliance, legal, or regulatory environments.

Competencies Required

• Deep understanding of Alphabet Regulations (e.g., Reg. A, Reg. B, etc.), swap dealing activities, and familiarity with CFTC, NFA requirements.
• Familiarity with bank-broker dealer interaction, e.g., securities, investment banking activities a plus.
• Excellent management skills with the ability to manage three direct reports.
• Excellent interpersonal communication skills (verbal and written) to deal with a wide variety of internal staff, senior management, and external counterparts.
• Good team player, independent, capable of working under pressure, and managing multiple deadlines.

Everyone is an asset for our Group, and that person could be you! Check out our job opportunities, apply, and join our team!