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NY - Regulatory & Corporate Compliance Officer

Date: Oct 14, 2021

Location: New York, US

Company: Intesa Sanpaolo Group

Intesa Sanpaolo is the banking group leader in Italy. Assisting more than 14,6 milion of retail customers through a network of 5360 branches, it significantly supports the development of Companies and gives an important sustain 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. It is looking for new qualify profiles who want to face demanding and challenging career path with the following requirements:

Scope and Purpose

Responsible for Regulatory and Corporate Compliance duties. Provide subject matter expertise and advisory support for Regulatory and Corporate Compliance including FRB ABC regulations and Swap Dealer regulations  (Swaps and Volcker rule) Conflicts of interest, Testing & Survelliance, Regulatory changes, internal reporting.

Work with the Head of Regulatory and Corporate compliance in the review and submission of various Head Office requests including reporting, advisory and Regulatory and Corporate Compliance Risk Assessment.  


• Assist in the coordinate and responding with U.S. regulators and Internal Audit including the FRB, NYSDFS and the NFA.

• Assist in the review and updating of the Regulatory and Corporate compliance program documents including policy, procedure and testing to ensure consistency with US Regulations/industry best practices and ISP Global polices and standards.

• Communicate and deliver Head Office deliverables including reviews, advisory and periodic reporting.

• Assist and coordinate with the Head of Regulatory and Corporate compliance the completion of various projects / plans including Training, Testing and team deliverables.

• Provide support and advice to the front office inquiries regarding Banking Regulation.

• Assist in the development of annual trainings for regulatory and corporate compliance including updating of regulations.

• Complete and enforce all the applicable procedures in monitoring and updating the ISP global watch and restricted list.   
Banking Regulations 
• Knowledge of U.S. Banking regulations including FRB, NYSDFS (Regulation A, C, R, W, CC, etc.), FCPA, Privacy laws, Anti-bribery & Corruption, Bank Holding Company Act and Dodd Frank Act (e.g. Title VI - Volcker Rule and Title VII - swap dealer).    

• Ability to research laws and regulations and provide advice on the applicability  • Keep abreast of the new regulations promulgated/issued by US Regulators or Agencies (e.g. the FRB, NYSDFS, NFA, CFTC).

• Assist/support the Head of Regulatory and Corporate in the analysis of new regulations to determine if they are applicable to ISPNY; circulate the new regulations to the pertinent departments.

• Complete periodic reviews of the applicable ISPNY Branch Department affected by Banking Regulation.

Required Experience

At a minimum 10 years' prior regulatory or compliance experience in the financial industry with minimum of 3 years as an attorney concentrating on Bank regulatory issues. 

Competencies Required


• Bachelor's degree in finance, law or related field

• Juris Doctor or Masters degree in business/ finance a strong plus

• Regulatory compliance related certifications a plus  

• Italian language fluency(both written and spoken) a plus• Requires excellent verbal and written communication skills to deal with a wide variety of internal staff and external counterparts;
• Good team player, independent, capability to work under pressure, ability to multi-task and managing multiple deadlines;
• Ability to produce high quality work to meet challenging deadlines and review information and identify key issues;
• Experience managing multiple projects; 
• Knowledge of U.S. Banking rules, regulations and laws
• Experience at a Foreign Global Banking Institution


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