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 qualified profiles who want to face demanding and challenging career path with the following requirements:
Scope and Purpose
• Provide internal support for the Chief Compliance Officer• Support Chief Compliance Officer in the interactions with Head Office Compliance, according to the internal governance framework and delivering the provided information flows; • Perform Surveillance of Electronic Communications through Firm approved vendor• Complete Firm and Staff Registrations and form filings through FINRA Gateway • Schedule Fingerprints for employees• Complete Firm and Regulatory Element Continuing Education coordination• Manage Primary Markets Watch List • Manage Conflict Checks, Additions to Watch and Restricted Lists, Wall-Crossing, Personal Account Dealings and perform Personal Account Dealing Pre-Approvals• Conduct OFAC/Sanctions screenings to assist AML Department• Complete signing of documents for new employees• Assist in the development and enhancement of policies & procedures • Produce documentation and assist in the successful completion of internal/external Audits, Regulatory examinations, and ad-hoc reviews. • Stay abreast of new rules and regulatory initiatives and advising the front office (and support departments) appropriately
The salary range for this job offer would be $ 140,000 – $ 210,000
Required Experience
• 10+ years practical experience in a Broker-Dealer • BSA/AML, Sanctions and trade surveillance experience• Prior Regulatory experience (FINRA/SEC) a plus but not required
Competencies Required
• Excellent communication skills (verbal and written) to efficiently interact with every management level and department• Outstanding organizational skills in executing essential processes to comply with regulatory obligations and constraints• Proven ability to work in a fast-paced environment and to identify Compliance risksAbility to collaborate with multiple areas of the business, including Front Office, Risk, Operations and senior management and to interact with Head Office Compliance structures
Required Qualifications, Skills and Knowledge
• Bachelor’s Degree from an accredited institution; Masters’ Degree (LL.M.), a plus• Knowledge of FINRA Gateway • FINRA Series 7; 24 preferred but not required• Strong analytical skills and ability to organize and bring order to data and information• Understanding of the U.S. and international securities markets and operations (knowledge of EU market regulatory framework will be a plus)• Understanding of Control Room activities and Employee Trade Monitoring (Conflict Checks, Restricted List, Watch List, Wall -Crossing)• Surveillance of Daily Trading Activities• Experience in the production of management information and reports• Microsoft Office proficient (World and Excel)
Everyone is an asset for our Group and that person could be you! Check out our job opportunities, apply and join our team!