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BBVA is a global company with more than 160 years of history that operates in more than 25 countries where we serve more than 80 million customers. We are more than 121,000 professionals working in multidisciplinary teams with profiles as diverse as financiers, legal experts, data scientists, developers, engineers and designers.
About the job:
Job Summary
Within the US Compliance unit of a large global bank, he or she will be in charge of leading the Compliance Testing Unit in the US, which is part of the global Compliance Testing team in BBVA. For this purpose, he or she will conduct the global Compliance Testing program for the US Bank Branch, Broker/Dealer and Global Swap Dealer according to corporate guidelines and methodology, preparing the annual plan, performing reviews and assisting with other Compliance processes such as risk assessments, issue management or reporting, among others.
For all the above, he or she will maintain strong coordination with the corporate team in Madrid.
Essential Duties and Responsibilities
- Conduct a Compliance risk analysis at least twice a year to identify potential topics to review.
- Work with both the US Head of Compliance and his team, the Corporate Compliance Testing unit in Madrid, and Non-Financial Risk to develop the annual Compliance Testing review plan. Submit the plan to appropriate levels of Management for approval.
- Conduct Compliance Testing reviews in accordance with the plan and supervise the team member reviews (i.e. document test results in testing templates, draft test reports, report findings to management, support the definition of management actions plans with stakeholders to address findings, etc.)
- Provide timely information on his or her activities to the appropriate levels of the organization.
- He or she will be accountable for the reviews performed and those of the team members in the unit. To this end, he or she will oversee the reports to be submitted to the Global Compliance Testing Committee.
- Follow up on action plans resulting from Compliance Testing reviews, tracking committed deadlines and raising and escalating any delays.
- Identify opportunities and propose continuous improvement ideas for the Compliance Testing function.
- Lead the US Compliance Testing team to achieve the objectives of the function.
- Manage and, as applicable, respond to both internal and external requests and inquiries in coordination with the hierarchy and other team members of US or Corporate Compliance function. This includes requests or inquiries from regulatory authorities.
Requisites for the position
- At least 10 years in compliance testing and/or audit roles in the financial industry, with at least 3 years in a managerial role leading a team.
- Knowledge of AML, market integrity regulations (SEC, FINRA, CFTC, NFA), and prudential regulations (FRB, DFS)
- Experienced in the preparation of reports to Senior Management, as well as to regulators and supervisors.
- Registrations (i.e., SIE, Series 7, 24 and/or Series 3 registration) preferred.
- Experience in coordinating with multi-disciplinary and multi-geographic teams.
- Strong analysis and synthesis capacities.
- Strong oral and written communication skills.
- Goal-oriented.
- Leadership and self-organization skills in a dynamic environment.
- Spanish is a plus.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
With respect to this position in our New York Office, the expected base salary ranges from $230,000 to $245,000. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.
*Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions
Legal requirements
It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.
Pay Transparency Policy Statement
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information (41 C.F.R. 60-1.35 (c)).
Individuals with Disabilities
BBVA USA, BBVA Securities Inc., and BBVA S.A. New York Branch invite all interested and qualified applicants to apply for employment opportunities. If you are a U.S.-based job seeker with a disability who is unable to use our online tools to search and apply for jobs, please contact us by emailing: disabilityaccessjobs.us@bbva.com or by calling toll-free (in the U.S.) 1-844-664-9275. Please indicate the specific type of assistance needed*.
*The disability access telephone line and email address are reserved solely for job seekers with disabilities requesting accessibility assistance or an accommodation. Please do not call about the status of your job application if you do not require accessibility assistance or an accommodation. Messages left for other purposes, such as following up on an application or non-disability related or technical issues, will not receive a response.
EEO Statement
BBVA USA, BBVA Securities Inc., and BBVA S.A. New York Branch have a firm and unwavering policy to provide equal employment opportunity without regard to age, citizenship, color, disability, ethnic origin, gender, gender identity and expression, marital status, nationality, national origin, race, religion, sexual orientation, genetic predisposition, protected veteran status, or any other status or classification protected by federal, state or local law. This policy includes all job groups, classifications and organizational units. With regard to employment, this policy extends to applicants and covers our recruiting, hiring, promotion, transfer, demotion, discipline, termination, benefits, compensation and training practices as well as social and recreational activities.
View the "EEO is the Law" & "View the EEO is the Law Supplement Poster" poster. BBVA USA, BBVA Securities, Inc., and BBVA NY are equal opportunity and affirmative action employer.