Compliance Counsel

  • Location

    Pennsylvania, USA

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:


  • Contact:

    Maria Talebian

  • Contact email:

  • Job ref:


  • Published:

    7 months ago

  • Expiry date:


  • Startdate:


  • Consultant:


Global Electronic Payments Firm - Compliance Counsel

law degree or comparable qualification

5-8 years of relevant professional experience

The ideal candidate will be responsible for all corporate compliance matters (general governance framework, anti-bribery, anti-trust, signature and clearance, data protection, etc.). Our basic understanding is that the candidate is part of our global team. In addition, the counsel will be responsible for developing US requirements (e.g. DOJ guidelines) for the group.

  • advising the specialist departments on the creation/further development of control procedures to avoid breaches of regulatory obligations, in particular those of the Banking/ Payments Act, AML
  • advising on the identification, treatment and involvement in the rectification of breaches of regulatory compliance requirements
  • participation in the new product process
  • advice on the identification, control and avoidance of conflicts of interest
  • coordination in cross-group conflicts
  • conducting compliance and special investigations and/or intervention law
  • exercising its control function, compliance with the obligations under the Banking Act and Payments Act and other regulatory standards (guidelines of good conduct, principles of conduct)
  • supporting the compliance function in its role as central point of contact for state supervisory authorities, the Federal Association and auditors
  • expansion, evaluation and coordination of compliance reporting
  • development/maintenance/standardization of policies, execution regulations (guidelines, manuals) etc. with a special compliance reference, e.g. guidelines for employee transactions
  • managing conflicts of interest (identification, control, prevention), coordination in cross-group conflicts of interest

  • design and control of information barriers, including information flow analysis

  • Ongoing monitoring of employee transactions with regard to insider violations or market abuse

  • whistle-blowing and complaint management

  • development / definition of compliance content for employee training

  • ongoing development, coordination and evaluation of a compliance reporting system

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.